Individual Firm
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CHRISTOPHER WILLIAM MULLIN
CRD#: 3159656
IA
B
EQUITABLE ADVISORS, LLCCRD#: 6627 TWO MERIDIAN CROSSINGS
SUITE 450
MINNEAPOLIS, MN 55423
SUITE 450
MINNEAPOLIS, MN 55423
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1/14/2011
Customer Dispute
Denied
State Registrations
B
California 8/24/2004
IA
Michigan 5/19/2022
IA
California 9/8/2010
B
Minnesota 7/22/2004
B
Colorado 10/4/2022
IA
Minnesota 11/13/2013
B
Florida 5/26/2010
B
Oregon 1/13/2014
IA
Florida 3/13/2012
IA
Oregon 2/4/2019
B
Illinois 8/23/2023
B
South Dakota 5/4/2023
B
Indiana 6/5/2007
IA
South Dakota 5/5/2023
IA
Indiana 9/8/2010
B
Wisconsin 4/4/2005
B
Michigan 5/13/2022
IA
Wisconsin 3/28/2011
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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Learn about permitted activities of registered principals
IA
Registered with this firm since 4/4/2005
B
Registered with this firm since 7/22/2004
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/18/2001 - 06/12/2003 | IRVINE, CA | |
B | 11/27/2001 - 06/12/2003 | MINNEAPOLIS, MN | |
B | 11/27/2001 - 06/12/2003 | MINNEAPOLIS, MN | |
B | 04/20/1999 - 11/21/2001 | MILWAUKEE, WI | |
B | 04/20/1999 - 11/21/2001 | MILWAUKEE, WI |
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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.
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.