Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kirk? Claim Your ProfileKirk Mulligan is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc., working from the NAPA, CA office. Kirk has been in the financial services industry since February 9, 1983. Previously, Kirk has worked with Kovack Securities Inc., Park Avenue Securities LLC, Guardian Investor Services Corporation, Cigna Financial Advisors, Inc., MetLife Securities Inc., Metropolitan Life Insurance Company, Boston Institutional Services Incorporated, Dean Witter Reynolds Inc., Shearson/American Express Inc., Bache Halsey Stuart Shields Incorporated, and Bache & Co Incorporated. Kirk holds a Series 7, Series 5, and Series 63 licenses and has passed the SIE and Series 66 exams. Kirk is registered in 15 states to offer securities and investment advisory services.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
CA
06/30/2005 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NAPA CA)
FL
10/11/2002 - 04/29/2003
KOVACK SECURITIES INC. (FT. LAUDERDALE FL)
NY
05/03/1999 - 10/20/2000
PARK AVENUE SECURITIES LLC (NEW YORK NY)
NY
03/21/1996 - 05/03/1999
GUARDIAN INVESTOR SERVICES CORPORATION (NEW YORK NY)
PA
08/25/1993 - 12/31/1994
CIGNA FINANCIAL ADVISORS,INC. (RADNOR PA)
MA
10/13/1987 - 01/20/1994
METLIFE SECURITIES INC. (SPRINGFIELD MA)
NY
10/13/1987 - 01/20/1994
METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)
NA
07/12/1984 - 04/19/1986
BOSTON INSTITUTIONAL SERVICES INCORPORATED
NA
10/26/1982 - 07/18/1984
DEAN WITTER REYNOLDS INC.
NA
09/24/1980 - 11/01/1982
SHEARSON/AMERICAN EXPRESS INC.
NA
09/16/1977 - 09/25/1980
BACHE HALSEY STUART SHIELDS INCORPORATED
NA
08/27/1976 - 09/16/1977
BACHE HALSEY STUART INC.
NA
07/01/1976 - 08/27/1976
BACHE & CO INCORPORATED
BOTH
Issued 09/01/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/04/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/17/1981
Series 5 - Interest Rate Options Examination
BC
Issued 06/19/1976
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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