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John Jeffrey Mullen

Westcap Markets, LLC

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About John Jeffrey Mullen

John Jeffrey Mullen is a financial professional with over two decades of experience in the industry. John is currently registered with Westcap Markets, LLC and is licensed in all 50 states. John holds multiple FINRA licenses, including Series 7, 9, 10, 24, 63, and 79, as well as several state licenses. Before joining Westcap Markets, LLC, John worked as a financial advisor at Goldman, Sachs & Co., a leading global investment banking, securities and investment management firm. John is committed to providing clients with personalized financial advice to help them achieve their financial goals.

Firm Information

John Mullen is currently registered with Westcap Markets, LLC. Westcap Markets, LLC is a Limited Liability Company formed on October 20, 2021 and is approved to operate in all 50 U.S. states, the District of Columbia, Puerto Rico, and the Virgin Islands. The firm is also registered with the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

4

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.

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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John Mullen’s Registration & Firm History

NH

01/06/2023 - Present

Westcap Markets, LLC (RYE BEACH NH)

NY

08/29/2001 - 07/27/2016

GOLDMAN, SACHS & CO. (NEW YORK NY)

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Licenses & Designations

BC

Issued 12/21/2022

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/31/2022

Series 24 - General Securities Principal Examination

BC

Issued 01/14/2016

Series 4 - Registered Options Principal Examination

BC

Issued 01/16/2008

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 11/14/2007

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 12/02/2022

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 08/28/2001

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for John Jeffrey Mullen.
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