Thomas Jeremiah Mullen
Professional Summary
Thomas Jeremiah Mullen is a registered financial advisor currently at BREAKWATER CAPITAL GROUP located in Dedham, Massachusetts. Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Thomas has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 9 and Series 10 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
24 years in the financial services industry
Current & Past Employments
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Current Firm
BREAKWATER CAPITAL GROUP | BREAKWATER CAPITAL PARTNERS
Contact Information
Main Address
140 E. Ridgewood Avenue Suite 415, Paramus, NJ 07652Phone Number
(551) 342-3733# of Employees
4SEC notice filing (13 States and Territories)
Registered to provide investment advisory services in 13 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
1,336AUM (Assets Under Management)
$1,019,176,972Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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Primary Firm SEC Registration
BREAKWATER CAPITAL GROUP | BREAKWATER CAPITAL PARTNERS
State Registrations and Notice Filings
(8/9/2023)
(10/25/2024)
(7/14/2023)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jan 2002About the Series 6 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Aug 2011About the Series 9 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Jun 2011About the Series 10 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Thomas Jeremiah Mullen's CRS (Customer Relationship Summary).
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