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FM

Felix Mullen

WILLIAM BLAIR
New York, NY 10036-2774
Some features on this profile are disabled
CRD#: 4412885
FM

Professional summary

Felix Mullen, who also goes by Felix J Mullen, Felix Jay Mullen, is a registered financial professional currently at WILLIAM BLAIR located in New York, New York.

Felix is registered as a RR (Registered Representative) and started their career in finance in 2001. Felix has worked at 10 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Felix J Mullen | Felix Jay Mullen

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Felix Mullen's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

November 18, 2025 - Present

WILLIAM BLAIR

Office #1: 1166 Avenue Of The Americas Floor 20, New York, NY 10036-2774
RIA
BD
CRD#: 1252
New York, NY
Past

December 9, 2024 - November 7, 2025

TD SECURITIES (USA) LLC

BD
CRD#: 18476
Stamford, CT
Past

August 17, 2020 - December 9, 2024

COWEN AND COMPANY

BD
CRD#: 7616
Stamford, CT
Past

September 8, 2015 - June 30, 2020

BMO CAPITAL MARKETS CORP.

BD
CRD#: 16686
NEW YORK, NY
Past

March 26, 2012 - August 13, 2015

CANACCORD GENUITY LLC

BD
CRD#: 1020
NEW YORK, NY
Past

August 10, 2007 - September 27, 2012

CANACCORD GENUITY SECURITIES LLC

BD
CRD#: 24790
NEW YORK, NY
Past

March 17, 2006 - August 10, 2007

COLLINS STEWART INC.

BD
CRD#: 47414
NEW YORK, NY
Past

February 12, 2004 - November 28, 2005

COMPASS POINT RESEARCH & TRADING, LLC

BD
CRD#: 126258
WASHINGTON, DC
Past

April 17, 2003 - January 22, 2004

SOUNDVIEW TECHNOLOGY CORPORATION

BD
CRD#: 15425
OLD GREENWICH, CT
Past

June 12, 2001 - August 3, 2001

WILSON (JR), JOHN E

BD
CRD#: 43327
NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
WILLIAM BLAIR
WILLIAM BLAIR
WILLIAM BLAIR | WILLIAM BLAIR & COMPANY L.L.C. | WILLIAM BLAIR & COMPANY

CRD#: 1252 / SEC#: 801-688, 8-2698

RIA
Registered Investment Advisory firm - SEC (12/24/1947 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Illinois
(11/18/2025)
RR
New York
(11/24/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 12/1/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 7/26/2004
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 4/16/2003
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

WILLIAM BLAIR
WILLIAM BLAIR
WILLIAM BLAIR | WILLIAM BLAIR & COMPANY L.L.C. | WILLIAM BLAIR & COMPANY

CRD#: 1252 / SEC#: 801-688, 8-2698

RIA
Registered Investment Advisory firm - SEC (12/24/1947 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
The William Blair Building 150 North Riverside, Chicago, IL 60606
Mailing Address
The William Blair Building 150 North Riverside, Chicago, IL 60606-1594
Phone number
(312) 236-1600
Established
Delaware since 10/30/1995
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
469

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

WILLIAM BLAIR FORM ADV PART 2A - APPENDIX 1 WRAP BROCHURE (8/14/2025)
WILLIAM BLAIR & COMPANY, L.L.C. FORM ADV 2A BROCHURE (8/14/2025)
WILLIAM BLAIR EQUITY RESEARCH SERVICES FORM ADV 2A (3/31/2025)

Direct owners and executive officers

NamePositionCRD#
WBC HOLDINGS, L.P.HOLDING COMPANY
CITARDI, CISSIEEXECUTIVE COMMITTEE, GENERAL COUNSEL6642613
DEVORE, RYAN JACOBEXECUTIVE COMMITTEE3049671
GLEDHILL, BRENT WALKERPRESIDENT, CEO2921069
KENDALL, ROBERT DANIELEXECUTIVE COMMITTEE2765873
MCLAUGHLIN, SCOTT THOMASEXECUTIVE COMMITTEE2481285
RASAVONGXAY, WILLSON BCHIEF COMPLIANCE OFFICER6593731
SATTERFIELD, BETH AEXECUTIVE COMMITTEE6011858
TOLE, STEVEN ROBERTEXECUTIVE COMMITTEE5885283
TRIMBERGER, MICHAEL WILLIAMEXECUTIVE COMMITTEE, CFO5329834
ZIMMER, MATTHEW MONTGOMERYEXECUTIVE COMMITTEE4157826

Regulatory assets under management

Total Number of Accounts37,973
AUM (Assets Under Management)$ 58,329,726,421

Disclosures

Regulatory Event29
Arbitration2
Bond1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

WILLIAM BLAIR

WILLIAM BLAIR

CRD#: 1252New York, NY 10036-2774

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