Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian Mulvaney is a financial advisor currently registered with U.S. Bancorp Investments, Inc. Brian has over 20 years of experience in the financial industry, beginning his career in 1999 with First Union Capital Markets Corp. in Charlotte, North Carolina. Over the years, Brian has held various roles with notable firms such as Merrill Lynch, Pierce, Fenner & Smith Incorporated, Roth Capital Partners, LLC, and MUFG Securities Americas Inc. Brian's expertise spans across investment banking, general securities, and investment advisory services. He is currently registered with the state of California and holds several industry licenses, including Series 7, 79, 24, 63, and SIE.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
A percentage of the total value of assets under management is charged.
12b-1,networking&shareholder serv,product partner arrangements
1
2
CA
02/09/2023 - Present
U.s. Bancorp Investments, Inc. (Newport Beach CA)
NY
10/02/2020 - 12/05/2022
MUFG SECURITIES AMERICAS INC. (NEW YORK NY)
CA
11/18/2019 - 10/15/2020
INTREPID INVESTMENT BANKERS LLC (LOS ANGELES CA)
CA
07/27/2012 - 11/16/2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEWPORT BEACH CA)
CA
11/22/2007 - 06/11/2012
HEADWATERS BD, LLC (IRVINE CA)
CA
04/03/2002 - 05/13/2004
THE SEIDLER COMPANIES INCORPORATED (LOS ANGELES CA)
CA
04/13/2000 - 04/05/2002
ROTH CAPITAL PARTNERS, LLC (NEWPORT BEACH CA)
MO
10/01/1999 - 04/28/2000
FIRST UNION SECURITIES, INC. (ST. LOUIS MO)
NC
02/02/1998 - 10/01/1999
FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)
NC
03/11/1996 - 02/02/1998
FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)
IL
02/16/1995 - 12/16/1995
FIRST CHICAGO CAPITAL MARKETS, INC. (CHICAGO IL)
BC
Issued 04/03/2009
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/22/2021
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 11/16/2017
SIE - Securities Industry Essentials Examination
BC
Issued 11/21/2007
Series 7 - General Securities Representative Examination
BC
Issued 05/04/2002
Series 16 - NYSE Supervisory Analyst Examination
Active
Inactive
F
FINRA
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