Thomas C. Mullen
Professional summary
Thomas Charles Mullen was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Thomas is a previously registered financial professional and started their career in finance in 1976. Prior to being barred, Thomas had worked at 10 firms, which includes BUCKMAN BUCKMAN & REID INC., SAMCO CAPITAL MARKETS INC., PENSON FINANCIAL SERVICES INC., SERVICE ASSET MANAGEMENT COMPANY, NATIVE NATIONS SECURITIES INC., INTESA SANPAOLO IMI SECURITIES CORP., F.B. HORNER & ASSOCIATES INC., O'BRIEN & SHEPARD INC., WOLFE & HURST BOND BROKERS INC., MCG PORTFOLIO MANAGEMENT CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 12, 2009 - July 16, 2010
BUCKMAN, BUCKMAN & REID, INC.
May 19, 2006 - October 3, 2007
SAMCO CAPITAL MARKETS, INC.
February 7, 2003 - May 19, 2006
PENSON FINANCIAL SERVICES, INC.
October 5, 2000 - February 20, 2003
SERVICE ASSET MANAGEMENT COMPANY
July 16, 1999 - September 18, 2000
PENSON FINANCIAL SERVICES, INC.
June 12, 1995 - November 4, 1999
NATIVE NATIONS SECURITIES, INC.
September 30, 1994 - May 25, 1995
INTESA SANPAOLO IMI SECURITIES CORP.
April 3, 1990 - September 7, 1994
NATIVE NATIONS SECURITIES, INC.
January 5, 1990 - April 3, 1990
F.B. HORNER & ASSOCIATES, INC.
September 7, 1984 - February 10, 1987
O'BRIEN & SHEPARD, INC.
August 11, 1981 - November 3, 1982
WOLFE & HURST BOND BROKERS INC.
March 5, 1976 - January 10, 1989
MCG PORTFOLIO MANAGEMENT CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
F04
Date: 11/13/1975
Financial Principal ExaminationSeries 00
Date: 11/6/1975
General Securities Principal ExaminationCurrent Firm
BUCKMAN, BUCKMAN & REID, INC.
CRD#: 23407 / SEC#: , 8-40413
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JTC HOLDINGS LLC | SHARE HOLDER | |
| GIAKAS, WALLACE MARTIN | STOCKHOLDER | 1068278 |
| LAU, PETER SEN | STOCKHOLDER | 2302677 |
| YANG, ZHAO | SHAREHOLDER | 6077274 |
| ALMERINI, LOUIS ACHILLE | FINOP | 1605183 |
| BUCKMAN, HARRY JOHN | CHAIRMAN, RSOP | 1090909 |
| BUCKMAN, HARRY JOHN JR | SR. VICE PRESIDENT | 2202467 |
| BUCKMAN, MARY | STOCKHOLDER | 5823239 |
| BUCKMAN, THOMAS PAUL | SECRETARY | 2577168 |
| CAMPOLI, JOHN | SHAREHOLDER | 6596748 |
| PANNO, RICHARD ANTHONY | CHIEF COMPLIANCE OFFICER | 724727 |
| SHOICHET, MARK ELLIOTT | STOCKHOLDER | 2301353 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 4 |
Red Flags
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