Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert Mulligan is a financial advisor with over 30 years of experience in the industry. Robert is currently registered with Tripletree, LLC, Capital ONE Securities, Inc. and Kippsdesanto & Co.. Previously Robert was employed at WELLS FARGO SECURITIES, LLC, WELLS FARGO INSTITUTIONAL SECURITIES, LLC, BANC OF AMERICA SECURITIES LLC, BANC OF AMERICA INVESTMENT SERVICES, INC., GOLDROCK GROUP LLC, CANTOR FITZGERALD & CO., CANTOR FITZGERALD PARTNERS, CANTOR FITZGERALD SECURITIES, ESPEED GOVERNMENT SECURITIES, INC., ESPEED SECURITIES, INC., ABN AMRO INCORPORATED, ABN AMRO SECURITIES LLC, YAMAICHI INTERNATIONAL (AMERICA) INC., J.P. MORGAN SECURITIES INC., CS FIRST BOSTON CORPORATION, and LEHMAN BROTHERS INC.. Robert holds a variety of licenses and certifications, including Series 3, 7, 9, 10, 14, 57, 79, 99, and SIE. Robert is also a registered principal. Robert has a broad range of experience in the financial services industry, and is well-equipped to help clients achieve their financial goals.
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.
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.
1
2
NY
08/23/2024 - Present
Tripletree, LLC (New York NY)
NC
05/06/2008 - 11/11/2022
WELLS FARGO SECURITIES, LLC (CHARLOTTE NC)
NY
06/03/2014 - 07/11/2014
WELLS FARGO INSTITUTIONAL SECURITIES, LLC (NEW YORK NY)
NY
05/08/2007 - 04/01/2008
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
MA
07/24/2006 - 05/08/2007
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
NY
05/05/2004 - 07/24/2006
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
NY
02/20/2004 - 04/26/2004
GOLDROCK GROUP LLC (NEW YORK NY)
NY
04/02/2002 - 04/26/2004
CANTOR FITZGERALD & CO. (NEW YORK NY)
NY
04/02/2002 - 04/26/2004
CANTOR FITZGERALD PARTNERS (NEW YORK NY)
NY
04/02/2002 - 04/26/2004
CANTOR FITZGERALD SECURITIES (NEW YORK NY)
NY
04/02/2002 - 04/26/2004
ESPEED GOVERNMENT SECURITIES, INC. (NEW YORK NY)
NY
04/02/2002 - 04/26/2004
ESPEED SECURITIES, INC. (NEW YORK NY)
CT
03/17/1998 - 04/04/2002
ABN AMRO INCORPORATED (STAMFORD CT)
NY
05/18/2001 - 03/01/2002
ABN AMRO SECURITIES LLC (NEW YORK NY)
NY
10/08/1994 - 03/16/1998
YAMAICHI INTERNATIONAL (AMERICA) INC. (NEW YORK NY)
NY
04/01/1993 - 09/30/1994
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
NY
07/03/1991 - 03/18/1993
CS FIRST BOSTON CORPORATION (NEW YORK NY)
NY
02/26/1987 - 06/10/1991
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
10/28/1987 - 11/20/1987
HILL, THOMAS CORPORATION
BC
Issued 03/24/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/06/1997
Series 4 - Registered Options Principal Examination
BC
Issued 03/25/1990
Series 14 - Compliance Officer Examination
BC
Issued 02/13/1990
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/21/1987
Series 7 - General Securities Representative Examination
BC
Issued 11/21/1986
Series 3 - National Commodity Futures Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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