Thomas Francis X Mullarkey

Current Employers

Hive Retirement Planning

New York, NY • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2024-01-08

NY RA
APPROVED

Since 2024-01-08

Branch Locations

New York, NY • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Credit Suisse Securities (Usa) Llc	New York	NY	01/2003	10/2017
Shelter Rock Capital Group Llc	New York	NY	11/2018	Present
Retired	New York	NY	10/2017	10/2018
Hive Retirement Planning Llc	New York	NY	08/2023	Present

01/2003 → 10/2017

Credit Suisse Securities (Usa) Llc

New York, NY
11/2018 → Present

Shelter Rock Capital Group Llc

New York, NY
10/2017 → 10/2018

Retired

New York, NY
08/2023 → Present

Hive Retirement Planning Llc

New York, NY

Other Businesses

Thomas Mullarkey Jr is a Senior Advisor with Shelter Rock Capital Group LLC, a separate and unaffiliated entity. This activity accounts for approximately 10% of his time during trading hours. As a Senior Advisor, Thomas Mullarkey Jr provides advisory services to clients of Shelter Rock Capital Group LLC. These services are separate from services provided to clients of HIVE. Thomas Mullarkey Jr does not solicit clients of HIVE to his outside business activity and shall only represent the interest of HIVE while interacting with HIVE's clients.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1993-11-12

S63 Uniform Securities Agent State Law Examination

1993-11-12

Designations

View on SEC IAPD