PM
Patrick S. Mullen
CITIZENS SECURITIES
Norristown, PA 19401
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CRD#: 4428339
PM
Professional summary
Patrick Stephen Mullen, who also goes by Patrick Mullen, Rick Mullen, is a registered financial advisor currently at CITIZENS SECURITIES, INC. located in Norristown, Pennsylvania.
Patrick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Patrick has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Patrick Mullen | Rick 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.
R&M Endeavors, fishing tackle.
CRS (Client Relationship Summary) - RIA
Click below to view Patrick Stephen Mullen's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Patrick Stephen Mullen's 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®
NoneExperience
Current
May 13, 2021 - Present
CITIZENS SECURITIES, INC.
Office #1: 101 Main Street 1st Floor, Norristown, PA 19401Office #2: 22 Turner Lane, West Chester, PA 19380RIA
BD
CRD#: 39550
Norristown, PA
Current
May 13, 2021 - Present
CITIZENS SECURITIES, INC.
Office #1: 101 Main Street 1st Floor, Norristown, PA 19401Office #2: 22 Turner Lane, West Chester, PA 19380RIA
BD
CRD#: 39550
Norristown, PA
Past
October 21, 2018 - May 17, 2021
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
WYOMISSING, PA
Past
October 21, 2018 - May 17, 2021
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
WYOMISSING, PA
Past
February 15, 2018 - October 18, 2018
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
NARBERTH, PA
Past
February 15, 2018 - October 18, 2018
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
NARBERTH, PA
Past
September 5, 2017 - February 5, 2018
KEY INVESTMENT SERVICES LLC
RIA
CRD#: 136300
HARLEYSVILLE, PA
Past
September 5, 2017 - February 5, 2018
KEY INVESTMENT SERVICES LLC
BD
CRD#: 136300
HARLEYSVILLE, PA
Past
September 8, 2015 - August 22, 2017
SANTANDER SECURITIES LLC
RIA
CRD#: 41791
WYOMISSING, PA
Past
September 8, 2015 - August 22, 2017
SANTANDER SECURITIES LLC
BD
CRD#: 41791
WYOMISSING, PA
Past
May 23, 2011 - August 13, 2015
CITIZENS SECURITIES, INC.
RIA
CRD#: 39550
PHILADELPHIA, PA
Past
May 23, 2011 - August 13, 2015
CITIZENS SECURITIES, INC.
BD
CRD#: 39550
PHILADELPHIA, PA
Past
June 17, 2009 - May 13, 2011
LPL FINANCIAL LLC
RIA
CRD#: 6413
PHILADELPHIA, PA
Past
June 17, 2009 - May 13, 2011
LPL FINANCIAL LLC
BD
CRD#: 6413
PHILADELPHIA, PA
Past
September 15, 2008 - June 17, 2009
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
HUNTINGDON VALLEY, PA
Past
August 29, 2008 - June 17, 2009
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
HUNTINGDON VALLEY, PA
Past
September 8, 2004 - September 7, 2006
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
CHARLOTTE, NC
Past
September 8, 2004 - September 7, 2006
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
CHARLOTTE, NC
Past
August 3, 2001 - July 19, 2004
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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".
CS
CITIZENS SECURITIES, INC.
CCO INVESTMENT SERVICES CORP. | CITIZENS WEALTH MANAGEMENT | CITIZENS SECURITIES, INC. | CITIZENS PRIVATE WEALTH | CITIZENS PRIVATE CLIENT | CITIZENS INVESTMENT SERVICES CORP. | CITIZENS INVESTMENT SERVICES | CITIZENS INVESTMENT SECURITIES, INC. | CITIZENS FINANCIAL SERVICES INC. | CHARTER ONE INVESTMENT SERVICES
CRD#: 39550 / SEC#: 801-61902, 8-48744
RIA
Registered Investment Advisory firm - SEC (3/27/2003 Approved)Connecticut
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Florida
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Maine
Registered Investment Advisory firm - SEC (4/14/2003 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)New York
Registered Investment Advisory firm - SEC (3/31/2002 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (5/8/2003 Terminated)Vermont
Registered Investment Advisory firm - SEC (4/28/2003 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Florida(9/7/2021)
IAR
Florida(9/8/2021)
RR
New Jersey(9/24/2021)
IAR
New Jersey(9/24/2021)
RR
Pennsylvania(5/13/2021)
IAR
Pennsylvania(5/13/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CS
CITIZENS SECURITIES, INC.
CCO INVESTMENT SERVICES CORP. | CITIZENS WEALTH MANAGEMENT | CITIZENS SECURITIES, INC. | CITIZENS PRIVATE WEALTH | CITIZENS PRIVATE CLIENT | CITIZENS INVESTMENT SERVICES CORP. | CITIZENS INVESTMENT SERVICES | CITIZENS INVESTMENT SECURITIES, INC. | CITIZENS FINANCIAL SERVICES INC. | CHARTER ONE INVESTMENT SERVICES
CRD#: 39550 / SEC#: 801-61902, 8-48744
RIA
Registered Investment Advisory firm - SEC (3/27/2003 Approved)Connecticut
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Florida
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Maine
Registered Investment Advisory firm - SEC (4/14/2003 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)New York
Registered Investment Advisory firm - SEC (3/31/2002 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (5/8/2003 Terminated)Vermont
Registered Investment Advisory firm - SEC (4/28/2003 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Citizens Bank Way Jcb135, Johnston, RI 02043
Mailing Address
200 Station Drive Mws414, Westwood, MA 02090
Phone number
(781) 364-1641
Established
Rhode Island since 09/21/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
418
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 53,044 |
| AUM (Assets Under Management) | $ 9,188,004,183 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 6 |
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.
