Catherine Ann Mullen, J.D., CFP®, CLU®, ChFC®

Wealth Management Advisor


After 10 years of public service, eight as an Assistant District Attorney with the New York County District Attorney´s Office and two with the New York State Attorney General´s Organized Crime Task Force I wanted more control over my life.   I found Northwestern to be that place where I could still fill my desire to serve and help people yet have a more balanced life.


  • Fordham University, Bachelor of Arts in Mathematics/Economic
  • St John's School of Law, JD

Professional Designations

    The CERTIFIED FINANCIAL PLANNERTM (CFP®) certification is one of the most recognized financial planning marks in the world. CFP® certification identifies to the public those individuals who have met rigorous professional standards and have agreed to adhere to the principles of integrity, objectivity, competence, fairness, confidentiality, professionalism, and diligence when dealing with clients. The certification differs from an educational designation or state license in that it is based upon requirements that have been determined by extensive job analyses of actual practitioners in the field, and therefore, continue to evolve with the profession. The CFP® certification prepares the financial services professional for a career-long commitment to meeting the ever-changing financial needs of clients.


  • Chartered Life Underwriter (CLU®)
    The Chartered Life Underwriter (CLU®) designation has long been recognized as the fundamental and foremost educational credential for life insurance professionals. Since 1927, more than 94,000 individuals have earned their CLU®, helping them build a successful life insurance practice by providing clients with knowledgeable and ethical advice. For financial representatives, field management, home office personnel, and others involved in providing life insurance products to the public, the CLU® designation symbolizes continuing growth and commitment to professionalism.


  • Chartered Financial Consultant® The ChFC® program provides the most current and comprehensive financial planning education by combining the key financial planning fundamentals, with practical applications to put those theories to work. With content in the curriculum that addresses topics such as: behavioral finance, special needs planning, small business planning, financial planning for clients in the LGBT community, financial planning for divorce complexities and more, ChFC® designees are trained to masterfully handle a wide variety of modern financial topics.

Awards & Honors

  • National Association of Insurance and Financial Advisors (NAIFA) Quality Award Winner: 2 Times
  • National Quality Award 4 Times
  • Life Impact Award 13 times
  • Pacesetter-First 40
  • Bronze, Silver and Gold Award


  • Series 6, 7, 63, 66
  • New York Life and Health

To learn more about Northwestern Mutual Investment Services, LLC and its financial representatives, visit: FINRA BrokerCheck