Michael J. Mulherin
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Michael John Mulherin was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1982. Michael had worked at 8 firms and has passed the Series 65, Series 63, Series 15, Series 5, Series 3, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 17, 1995 - February 10, 2017
CAPITAL INVESTMENT MANAGEMENT INC.
June 9, 1994 - September 5, 2014
GROVE POINT INVESTMENTS, LLC
December 21, 1993 - April 18, 1994
LOMBARD SECURITIES INCORPORATED
March 11, 1991 - August 26, 1992
FSC SECURITIES CORPORATION
August 25, 1989 - January 16, 1991
PRUDENTIAL EQUITY GROUP, LLC
August 19, 1987 - August 25, 1989
THOMSON MCKINNON SECURITIES INC.
March 14, 1984 - July 18, 1987
CITIGROUP GLOBAL MARKETS INC.
May 21, 1982 - March 12, 1984
LEGG MASON WOOD WALKER, INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 15
Date: 5/12/1989
Foreign Currency Options ExaminationSeries 5
Date: 5/8/1989
Interest Rate Options ExaminationSeries 8
Date: 2/24/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CAPITAL INVESTMENT MANAGEMENT INC.
CRD#: 122600 / SEC#: 801-68675
Contact information
Regulatory assets under management
| Total Number of Accounts | 273 |
| AUM (Assets Under Management) | $ 52,798,998 |
Red Flags
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