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SEAN PETER MULLEN
CRD#: 3219535
IA
B
PLAN TO INVEST CAPITAL MANAGEMENT, INC.CRD#: 153726 100 FILLMORE STREET
SUITE 500
DENVER, CO 80206
SUITE 500
DENVER, CO 80206
0
Disclosures
16
Years of Experience
View By:
State Registrations
IA
Colorado 7/26/2022
IA
Registered with this firm since 7/26/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/16/2018 - 05/31/2018 | GREENWOOD VILLAGE, CO | |
B | 05/16/2018 - 05/31/2018 | GREENWOOD VILLAGE, CO | |
IA | 08/25/2008 - 08/26/2016 | GREENWOOD VILLAGE, CO | |
B | 05/23/2008 - 08/26/2016 | GREENWOOD VILLAGE, CO | |
B | 09/02/2004 - 01/23/2007 | DENVER, CO | |
IA | 05/16/2001 - 12/31/2002 | ENGLEWOOD, CO | |
B | 12/11/2000 - 12/31/2002 | CINCINNATI, OH | |
B | 06/24/1999 - 08/30/2000 | DES MOINES, IA |
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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.