JM
John G. Mullen
RB CAPITAL MANAGEMENT
Walnut Creek, CA 94596
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CRD#: 6180845
JM
Professional summary
John Grant Mullen is a registered financial advisor currently at RB CAPITAL MANAGEMENT, LLC located in Walnut Creek, California and APW CAPITAL, INC. located in Walnut Creek, California.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. John has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
CROFTON CAPITAL MANAGEMENT, WALNUT CREEK, CA; SINCE 04/08/2013; ASSISTANT;FINANCIAL ADVISORY SERVICES; 40% TIME SPENT; DUTIES: PREPARE AND MANAGE PAPERWORK, ASSIST IN CLIENT MEETING FOLLOW-UPS, ASSISTANT FINANCIAL ADVISOR- CRAIG FRIEDERS.
JOHN MULLEN; WALNUT CREEK, CA; INSURANCE AGENT; START DATE 09/17/2014; DUTIES: OFFER ADVICE ON INSURANCE; 1% TIME SPENT.
RB CAPITAL MANAGEMENT; WALNUT CREEK, CA; RIA; DBA: CROFTON CAPITAL MGMT.,; INVESTMENT ADVISOR REP.; START DATE: 4/28/2014; DUTIES: RECOMMENDATION OF FUNDS, STOCKS AND BONDS FOR A FEE; 40% TIME SPENT.
CRS (Client Relationship Summary) - RIA
Click below to view John Grant 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
January 8, 2016 - Present
RB CAPITAL MANAGEMENT, LLC
Office #1: 1615 Bonanza Street, Suite 403, Walnut Creek, CA 94596RIA
CRD#: 125678
Walnut Creek, CA
Current
February 18, 2014 - Present
APW CAPITAL, INC.
Office #1: 1615 Bonanza Street, Ste. 403, Walnut Creek, CA, 94596BD
CRD#: 43814
Walnut Creek, CA
Past
May 9, 2014 - December 31, 2015
RB CAPITAL MANAGEMENT, LLC
RIA
CRD#: 125678
WALNUT CREEK, CA
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".
RC
RB CAPITAL MANAGEMENT, LLC
JS WEALTH PLANNING | RB CAPITAL MANAGEMENT, LLC
CRD#: 125678 / SEC#: 801-62043
RIA
Registered Investment Advisory firm - (5/9/2003 Approved)California
Registered Investment Advisory firm - (6/13/2003 Terminated)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
California(4/11/2014)
IAR
California(1/8/2016)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
RC
RB CAPITAL MANAGEMENT, LLC
JS WEALTH PLANNING | RB CAPITAL MANAGEMENT, LLC
CRD#: 125678 / SEC#: 801-62043
RIA
Registered Investment Advisory firm - (5/9/2003 Approved)California
Registered Investment Advisory firm - (6/13/2003 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5365 Reno Corporate Dr. Suite 200, Reno, NV 89511
Mailing Address
Phone number
(775) 993-2900
Established
Firm type
Fiscal year end
# of Employees
15
SEC notice filing (16 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,382 |
| AUM (Assets Under Management) | $ 817,220,998 |
Red Flags
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Company Information
RB CAPITAL MANAGEMENT, LLC
CRD#: 125678Walnut Creek, CA 94596TRUST BUT VERIFY
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