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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Mullen is an Investment Advisor Representative associated with Morgan Stanley. Thomas has 40 years of experience in the financial services industry. He is registered to conduct business in 15 states. Thomas is a Series 7, Series 15 and Series 63 licensed professional. In addition to his securities licenses, Thomas also holds a Series 65 license. Thomas has worked at Wells Fargo Advisors, LLC, Citigroup Global Markets Inc., Prudential Securities Incorporated and Thomson McKinnon Securities Inc. in addition to his current firm, Morgan Stanley.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
CA
08/13/2015 - Present
Morgan Stanley (SAN RAFAEL CA)
CA
10/05/2006 - 08/10/2015
WELLS FARGO ADVISORS, LLC (SAN RAFAEL CA)
CA
04/23/1994 - 10/12/2006
CITIGROUP GLOBAL MARKETS INC. (SAN FRANCISCO CA)
NY
08/25/1989 - 04/19/1994
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
04/06/1983 - 08/25/1989
THOMSON MCKINNON SECURITIES INC. (NEW YORK NY)
NA
01/25/1982 - 04/07/1983
DREXEL BURNHAM LAMBERT INCORPORATED
IA
Issued 05/13/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/16/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/06/1984
Series 15 - Foreign Currency Options Examination
BC
Issued 01/16/1982
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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