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DM

David J. Mullane

Some features on this profile are disabled
CRD#: 4495948
DM

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

David Joseph Mullane was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 2002. David had worked at 3 firms and has passed the Series 63, Series 66, Series 7TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 16, 2021 - April 3, 2023

FALLS BRIDGE SECURITIES, LLC

BD
CRD#: 299526
BRYN MAWR, PA
Past

August 11, 2016 - November 28, 2017

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

February 8, 2002 - December 20, 2002

HSBC BROKERAGE (USA) INC.

BD
CRD#: 6956
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 9/3/2021
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 3/20/2002
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 8/16/2021
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 11/28/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/11/2016
General Securities Representative Examination

Current Firm

FB
FALLS BRIDGE SECURITIES, LLC
FALLS BRIDGE SECURITIES, LLC

CRD#: 299526 / SEC#: , 8-70247

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
32 N Bryn Mawr Ave Suite 200, Bryn Mawr, PA 19010
Mailing Address
32 N Bryn Mawr Ave Suite 200, Bryn Mawr, PA 19010
Phone number
(646) 787-1406
Established
Pennsylvania since 09/24/2018
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (39 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
FALLS BRIDGE CAPITAL PARTNERS, INC.SOLE MEMBER
CURRIE, PATRICK COLMANPRINCIPAL4998977
KIRWAN, MICHAEL JOHNPRESIDENT/CCO4263096

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

FALLS BRIDGE SECURITIES, LLC

CRD#: 299526

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