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Daniel Austin Mullen

Oppenheimer & Co. Inc.

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About Daniel Austin Mullen

Daniel Austin Mullen is a financial advisor who has been in the industry for over 20 years. He is currently registered with Oppenheimer & Co. Inc. and has previously worked with CIBC WORLD MARKETS CORP. Daniel has a Series 7 and a SIE license. He specializes in investments, including mutual funds, variable annuities, and fixed annuities.

Firm Information

Daniel Mullen is currently registered with Oppenheimer & Co. Inc.. Oppenheimer & Co. Inc. is a corporation formed in December 1954 and headquartered in New York City. The firm provides a range of advisory services, including financial planning, pension consulting, selection of other advisors, portfolio management for businesses, individuals, and pooled investment vehicles. Oppenheimer & Co. Inc. manages approximately $1 billion to $10 billion in assets for a diverse clientele, including individuals, corporations, institutions, and government entities. The firm is registered with the SEC and in all 50 states.
Oppenheimer & Co. Inc.

85 BROAD STREET

NEW YORK, NY 10004

$27.45B

Assets Under Management

Not reported

Total Clients

1,429

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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performance-based fees

Fees calculated based on the performance of your investments relative to a benchmark.

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Daniel Mullen’s Registration & Firm History

NY

04/14/2004 - Present

Oppenheimer & Co. Inc. (NEW YORK NY)

NY

05/16/2003 - 04/05/2004

CIBC WORLD MARKETS CORP. (NEW YORK NY)

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Licenses & Designations

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/14/2003

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe Exchange, Inc.

F

FINRA

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Daniel Austin Mullen.
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