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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Mulligan is a financial advisor with D.a. Davidson & Co. in Encino, CA. Steven has been in the industry since 1993. Steven is registered with both the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). Steven specializes in portfolio management for businesses and individuals. Steven's previous experience includes working with Crowell Weedon & Co., Crowell, Weedon & Co., Paine Webber Incorporated, and Smith Barney Inc.
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.
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.
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.
A percentage of the total value of assets under management is charged.
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2
CA
10/08/2018 - Present
D.a. Davidson & Co. (ENCINO CA)
CA
11/04/2013 - 11/25/2013
CROWELL WEEDON & CO. (WESTLAKE VILLAGE CA)
CA
01/12/1999 - 11/04/2013
CROWELL, WEEDON & CO. (WESTLAKE VILLAGE CA)
NJ
06/24/1996 - 01/04/1999
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
08/18/1993 - 07/12/1996
SMITH BARNEY INC. (NEW YORK NY)
IA
Issued 09/02/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/24/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/12/2011
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/29/2011
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/08/2008
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/16/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 08/10/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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