Individual Firm
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EDWARD WEST MULLEN JR
EDWARD WEST MULLEN, WEST MULLEN, EDWARD WEST MULLEN JR, EDWARD WEST MULLEN JR. JR
CRD#: 3042535
IA
B
MORGAN STANLEYCRD#: 149777 2800 Post Oak Boulevard
18th Floor
Houston, TX 77056
18th Floor
Houston, TX 77056
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3/14/2008
Judgment / Lien
State Registrations
B
Alabama 3/5/2020
B
Massachusetts 2/23/2016
B
Arizona 2/23/2016
B
Michigan 2/23/2016
B
Arkansas 5/9/2017
B
Nevada 7/11/2017
B
California 2/23/2016
B
New Jersey 2/23/2016
B
Connecticut 4/28/2017
B
New York 2/23/2016
B
Delaware 12/2/2022
B
North Carolina 2/24/2016
B
District of Columbia 2/22/2016
B
Ohio 2/24/2016
B
Florida 2/22/2016
B
Pennsylvania 2/23/2016
B
Georgia 2/22/2016
B
South Carolina 2/23/2016
B
Illinois 2/22/2016
B
Texas 2/18/2016
B
Kansas 2/22/2016
IA
Texas 2/18/2016
B
Kentucky 2/22/2016
B
Washington 2/23/2016
B
Louisiana 2/23/2016
SRO Registrations
B
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 2/18/2016
B
Registered with this firm since 2/18/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/06/2015 - 11/24/2015 | HOUSTON, TX | |
B | 03/06/2015 - 11/24/2015 | HOUSTON, TX | |
IA | 06/01/2009 - 03/23/2015 | HOUSTON, TX | |
B | 06/01/2009 - 03/23/2015 | HOUSTON, TX | |
IA | 04/26/2007 - 06/01/2009 | HOUSTON, TX | |
B | 04/01/2005 - 06/01/2009 | HOUSTON, TX | |
B | 09/03/2003 - 11/23/2004 | WESTLAKE, TX | |
B | 11/29/2001 - 04/10/2002 | CHICAGO, IL | |
B | 08/04/2000 - 11/06/2001 | NEW YORK, NY | |
B | 05/29/1998 - 08/09/2000 | PURCHASE, NY |
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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.
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