James Mullin, financial advisor Yardley PA
96 score

James Mullin

CRD Number: 4517540
Current Firm: Waddell & Reed

James Mullin (CRD# 4517540) is an Investment Advisor Representative working at Waddell & Reed in Yardley, PA and has over 14 years of experience in the finance industry. James Mullin has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Church Pension Group Finance Department New York, NY Apr 2015 - Current 1
Dover Housing Authority Dover, NJ Aug 2011 - Current 5
Nj Lakehouse Rental Property Newton, NJ Sep 2010 - Current 6
Various Insurance Carriers For W & R Insurance Agencies Dover, NJ May 2002 - Current 14
Waddell & Reed, Inc. Dover, NJ Mar 2002 - Current 14
Aa Alumni Foundation Inc. New York, NY Jun 1995 - Current 21
Lake O'meadows Lakeowners Association Warren Center, PA Jul 2005 - May 2011 5
Bny Alternative Investment Services New York, NY Jun 2004 - Apr 2010 5
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Nov 2002
Contact Info for James L. Mullin
Phone Number: 913-236-2000
Firm Website: http://www.waddell.com
Registered State(s):
  • DC
  • NC
  • SC
  • VA
  • PA
  • NV
  • NJ
By the Numbers
  • Total Assets Under Management
    18,309
    MILLIONS
  • Total Number of Accounts
    149,599
    ACCOUNTS
  • Average Account Value
    $122,387
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
96
Clean Record
This advisor has a clean track record with regulators.

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