Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Mullis is a financial professional with over 20 years of experience in the financial services industry. David is currently registered with Interactive Brokers LLC and holds the Series 3, 4, 7, 34, 63, and SIE licenses. David previously worked at Merrill Lynch, Pierce, Fenner & Smith Incorporated, TD Ameritrade, Inc., and TD Waterhouse Investor Services, Inc. David has a broad range of experience in the financial services industry, including trading, investment advisory, and financial planning.
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.
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.
1
2
IL
05/10/2016 - Present
Interactive Brokers LLC (CHICAGO IL)
NY
10/30/2012 - 03/04/2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IL
05/20/2011 - 07/02/2012
TD AMERITRADE, INC. (CHICAGO IL)
NE
11/05/1999 - 08/15/2001
TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)
BC
Issued 05/31/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/09/2000
Series 4 - Registered Options Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/27/2011
Series 34 - Retail Off-Exchange FOREX Examination
BC
Issued 06/16/2011
Series 3 - National Commodity Futures Examination
BC
Issued 05/19/2011
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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