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Detailed Report
MICHAEL HAYDEN MULLANE
MICHAEL H MULLANE, Mike Mullane
CRD#: 2061759
IA
Investment Adviser
B
Broker
LPL FINANCIAL LLCCRD#: 6413 1900 MAIN STREET, SUITE 125
IRVINE, CA 92614
Registration History
19952000200520102015202020252 FIRMS2015 - 2015 (<1 year)2 FIRMS2013 - 2015 (1 year)2 FIRMS2015 - 2016 (<1 year)2 FIRMS2016 - 2021 (5 years)2 FIRMS2021 - 2024 (2 years)2 FIRMS2024 - Present (<1 year)BGLOBAL HUNTER SECURITIES, LLC (CRD# 123003)2011 - 2012 (1 year)BUNX LLC (CRD# 46145)2009 - 2010 (1 year)BKNIGHT DIRECT LLC (CRD# 135924)2008 - 2009 (<1 year)BUNX, INC. (CRD# 46145)2003 - 2008 (5 years)BB. RILEY AND CO. INC. (CRD# 40355)2002 - 2002 (<1 year)BFOX & COMPANY INVESTMENTS INC. (CRD# 18517)2001 - 2002 (<1 year)BPERSHING TRADING COMPANY, L.P. (CRD# 36671)1998 - 1999 (1 year)BPERSHING TRADING COMPANY, L.P. (CRD# 36671)1995 - 1995 (<1 year)BDONALDSON, LUFKIN & JENRETTE S... (CRD# 7560)1994 - 1995 (<1 year)
License(s)

State Registrations

B
California 4/30/2024
IA
California 5/16/2024

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL FINANCIAL LLC (CRD#:6413)
1900 MAIN STREET, SUITE 125, IRVINE, CA 92614
Registered with this firm since 5/16/2024
B
LPL FINANCIAL LLC (CRD#:6413)
1900 MAIN STREET, SUITE 125, IRVINE, CA 92614
Registered with this firm since 4/30/2024
Previous Registration(s)
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IA
 08/13/2021 - 05/01/2024 WELLS FARGO ADVISORS (CRD#:19616) NEWPORT BEACH, CA
B
 08/13/2021 - 05/01/2024 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) NEWPORT BEACH, CA
IA
 03/02/2016 - 07/07/2021 J.P. MORGAN SECURITIES LLC (CRD#:79) CORONA DEL MAR, CA
B
 03/02/2016 - 07/07/2021 J.P. MORGAN SECURITIES LLC (CRD#:79) CORONA DEL MAR, CA
IA
 10/08/2015 - 02/04/2016 MML INVESTORS SERVICES, LLC (CRD#:10409) NEWPORT BEACH, CA
B
 09/08/2015 - 02/04/2016 MML INVESTORS SERVICES, LLC (CRD#:10409) NEWPORT BEACH, CA
IA
 06/03/2015 - 08/19/2015 GLACIER POINT ADVISORS, LLC (CRD#:219515) IRVINE, CA
IA
 05/11/2015 - 06/22/2015 GLACIER POINT CAPITAL LLC (CRD#:148019) IRVINE, CA
IA
 04/10/2013 - 04/09/2015 GLACIER POINT CAPITAL LLC (CRD#:148019) IRVINE, CA
B
 12/26/2013 - 04/09/2015 GLACIER POINT CAPITAL LLC (CRD#:148019) NEW YORK, NY
B
 01/05/2011 - 07/26/2012 GLOBAL HUNTER SECURITIES, LLC (CRD#:123003) COSTA MESA, CA
B
 10/06/2009 - 11/17/2010 UNX LLC (CRD#:46145) BURBANK, CA
B
 12/11/2008 - 08/24/2009 KNIGHT DIRECT LLC (CRD#:135924) JERSEY CITY, NJ
B
 04/17/2003 - 12/09/2008 UNX, INC. (CRD#:46145) BURBANK, CA
B
 04/08/2002 - 11/01/2002 B. RILEY AND CO. INC. (CRD#:40355) LOS ANGELES, CA
B
 11/23/2001 - 04/16/2002 FOX & COMPANY INVESTMENTS INC. (CRD#:18517)
FINRA expelled the firm on 05/14/2009
SCOTTSDALE, AZ
B
 12/04/1998 - 12/03/1999 PERSHING TRADING COMPANY, L.P. (CRD#:36671) JERSEY CITY, NJ
B
 01/03/1995 - 06/29/1995 PERSHING TRADING COMPANY, L.P. (CRD#:36671) JERSEY CITY, NJ
B
 10/25/1994 - 01/03/1995 DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (CRD#:7560) JERSEY CITY, NJ
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.