Patrick F. Mulhearn
Professional summary
Patrick Francis Mulhearn, who also goes by Patrick Francis Mulhearn Jr, Patrick Mulhearn, P F Mulhearn Jr, Patrick F Mulhearn, is a registered financial professional currently at DAIWA CAPITAL MARKETS AMERICA INC. located in Rye, New York.
Patrick is registered as a RR (Registered Representative) and started their career in finance in 2010. Patrick has worked at 5 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Patrick Francis Mulhearn's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 5, 2023 - Present
DAIWA CAPITAL MARKETS AMERICA INC.
April 25, 2022 - June 6, 2023
SG AMERICAS SECURITIES, LLC
October 29, 2019 - December 22, 2021
DEUTSCHE BANK SECURITIES INC.
April 24, 2017 - July 9, 2019
RBC CAPITAL MARKETS, LLC
May 21, 2010 - March 16, 2017
MORGAN STANLEY & CO. LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/5/2023)
Exams
FINRA
Investors' Exchange LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE Texas, Inc.
Nasdaq Stock Market
Nasdaq Texas, LLC
New York Stock Exchange
Current Firm
DAIWA CAPITAL MARKETS AMERICA INC.
CRD#: 1576 / SEC#: , 8-12242
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DAIWA CAPITAL MARKETS AMERICA HOLDINGS INC. | SHAREHOLDER | |
| GREFE, JOHN HERBERT III | EXECUTIVE DIRECTOR - CHIEF COMPLIANCE OFFICER | 3275699 |
| MACHIDA, KEIJI | PRESIDENT / CEO & CHAIRMAN (BOARD OF DIRECTOR) | 7273228 |
| PARRY, GEORGE L | CFO / TREASURER | 3221390 |
| SAMBONGI, TOHRU | MANAGING DIRECTOR / CO-HEAD OF FIXED INCOME | 7302894 |
| UEJIMA, EIJI | MANAGING DIRECTOR / CO-HEAD OF EQUITY DIVISION | 8039040 |
| YAMAUCHI, MASAHIRO | DEPUTY PRESIDENT / MEMBER OF THE BOARD OF DIRECTORS | 7920876 |
Disclosures
| Regulatory Event | 30 |
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.
