Jeffrey P. Mullen
Professional summary
Jeffrey Paul Mullen, who also goes by Jeffrey P Mullen, is a registered financial professional currently at PURSHE KAPLAN STERLING INVESTMENTS located in Albany, New York.
Jeffrey is registered as a RR (Registered Representative) and started their career in finance in 2013. Jeffrey has worked at 2 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Jeffrey Paul Mullen's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 20, 2021 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 80 State Street, Albany, NY 12207July 30, 2021 - January 5, 2022
ALLY INVEST SECURITIES LLC
November 22, 2013 - May 26, 2021
PURSHE KAPLAN STERLING INVESTMENTS
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/3/2022)
(1/3/2022)
(1/3/2022)
(1/3/2022)
(9/9/2024)
(3/27/2023)
(1/3/2022)
(3/27/2023)
(11/20/2024)
(1/3/2022)
(1/3/2022)
(1/3/2024)
(1/5/2022)
(3/27/2023)
(1/3/2022)
(7/10/2024)
(1/3/2022)
(1/3/2022)
(10/17/2023)
(2/9/2023)
(1/5/2024)
(1/3/2022)
(1/12/2024)
(11/20/2024)
(1/23/2024)
(1/3/2022)
(12/20/2021)
(3/27/2023)
(5/30/2025)
(1/3/2022)
(1/3/2022)
(3/27/2023)
(1/5/2022)
(12/19/2024)
(12/12/2022)
(1/23/2024)
(9/9/2024)
(1/3/2022)
(1/5/2022)
(1/3/2022)
(1/3/2022)
(7/10/2024)
Exams
Series 52TO
Date: 1/22/2019
Municipal Securities Representative ExaminationFINRA
Current Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
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
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747Albany, NY 12207TRUST BUT VERIFY
Monitor Jeffrey Mullen
Get automatic monthly alerts on:
