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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Patrick Mullaney is a financial advisor with over 20 years of experience in the industry. John has been with Wells Fargo Clearing Services, LLC since 2009. Prior to joining Wells Fargo Clearing Services, LLC, John worked at A. G. Edwards & Sons, Inc., Morgan Stanley DW Inc., PaineWebber Incorporated, Kidder, Peabody & Co. Incorporated, and Smith Barney Shearson Inc.. John is registered with FINRA and holds the Series 3, 7, 9, 31, and 63 licenses, as well as the Series 65 license. John's specialties include portfolio management for businesses, individuals, and investment companies. John provides investment consulting services to institutional clients.
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.
Guidance on pension options to ensure a secure financial future.
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.
Investment consulting services to institutional clients
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CO
09/19/2012 - Present
Wells Fargo Clearing Services, LLC (DENVER CO)
CO
08/17/2005 - 01/03/2008
A. G. EDWARDS & SONS, INC. (DENVER CO)
NY
02/03/2003 - 08/29/2005
MORGAN STANLEY DW INC. (PURCHASE NY)
NJ
01/28/1995 - 03/24/1995
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
01/25/1994 - 01/28/1995
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
NY
11/22/1993 - 02/04/1994
SMITH BARNEY SHEARSON INC. (NEW YORK NY)
BC
Issued 03/07/2003
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 03/06/2003
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/25/2013
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/11/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 01/31/2003
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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