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Ruth Mulligan

Charles Schwab & CO., Inc.

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About Ruth Mulligan

Ruth Mulligan is a financial professional with over 16 years of experience in the industry. Ruth is currently registered with Charles Schwab & Co., Inc., where she has been working since March 2020. Prior to joining Charles Schwab & Co., Inc., Ruth worked at TD Ameritrade, Inc. and R.W. Pressprich & Co. Ruth is licensed to provide financial advice and securities trading services in all 50 states, District of Columbia, Puerto Rico and the Virgin Islands. Ruth has passed the Series 7, Series 63 and SIE exams. Ruth specializes in providing financial planning services and portfolio management.

Firm Information

Ruth Mulligan is currently registered with Charles Schwab & CO., Inc.. Charles Schwab & CO., Inc. is a Corporation formed in April 1971, headquartered in San Francisco, California. The firm offers a range of advisory services including financial planning, selection of other advisors, and wrap fee programs. They have a broad client base including individuals, corporations, and other institutions. The firm manages over $50 billion in assets and operates in all 50 states and territories.
Charles Schwab & CO., Inc.

211 MAIN STREET

SAN FRANCISCO, CA 94105

Not reported

Assets Under Management

919,128

Total Clients

10,627

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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wrap fee program sponsor and financial planning advisor referral program

Wrap fee program sponsor and financial planning advisor referral program

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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other

Asset based fees for wrap pgrms & subsc pricing for fin planning

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Ruth Mulligan’s Registration & Firm History

TX

03/25/2020 - Present

Charles Schwab & CO., Inc. (WESTLAKE TX)

NE

07/23/2021 - 12/31/2023

TD AMERITRADE, INC. (OMAHA NE)

MA

10/13/2014 - 12/24/2019

CHARLES SCHWAB & CO., INC. (Boston MA)

MA

12/02/2010 - 01/03/2012

R.W.PRESSPRICH & CO. (BOSTON MA)

MA

08/03/2007 - 09/17/2009

FIDELITY BROKERAGE SERVICES LLC (BOSTON MA)

MA

11/14/2006 - 07/12/2007

NATIONAL FINANCIAL SERVICES LLC (BOSTON MA)

NA

05/23/1985 - 04/17/1989

SHEARSON LEHMAN HUTTON INC.

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Licenses & Designations

BC

Issued 12/01/2014

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/13/2014

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Ruth Mulligan.
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