John R. Mull
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.
John Roger Mull, who also goes by J. Roger Mull, Roger Mull, was a registered financial advisor .
John is a previously registered financial advisor and started their career in finance in 1978. John had worked at 13 firms and has passed the Series 65, Series 63, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 10, 2008 - April 6, 2009
MONTANA PLANNING GROUP, LLC
October 17, 2007 - May 15, 2008
ALLSTATE FINANCIAL SERVICES, LLC
January 30, 2007 - June 1, 2007
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
December 13, 2006 - June 1, 2007
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
March 28, 2005 - December 19, 2006
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
August 12, 2003 - March 28, 2005
CAMBRIDGE INVESTMENT RESEARCH, INC.
August 1, 2003 - December 19, 2006
CAMBRIDGE INVESTMENT RESEARCH, INC.
May 12, 1998 - August 1, 2003
FSC SECURITIES CORPORATION
May 15, 1995 - May 4, 1998
MONY SECURITIES CORPORATION
March 27, 1995 - April 5, 1995
PRINCIPAL SECURITIES, INC.
July 21, 1988 - October 15, 1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
July 13, 1988 - March 15, 1995
MONY SECURITIES CORPORATION
January 25, 1985 - July 13, 1988
FSC SECURITIES CORPORATION
April 21, 1982 - January 24, 1985
A. G. EDWARDS & SONS, INC.
January 31, 1982 - May 14, 1982
LINCOLN NATIONAL PENSION INSURANCE COMPANY
August 2, 1979 - May 14, 1982
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
May 11, 1978 - January 3, 1980
ENTERPRISE FUND DISTRIBUTORS, INC.
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
Series 1
Date: 5/8/1978
Registered Representative ExaminationCurrent firm
No current employment
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.
