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Terence Patrick Mulrooney

CRD# 1182309·Registered 1990 - 1994
Previously Registered: Being a previously registered professional could mean that Terence 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.

Professional Summary

Terence Patrick Mulrooney was a registered financial advisor. Terence was a previously registered financial professional and started their career in finance 1990 - 1994. Terence had worked at 4 firms and has passed the Series 63, Series 3, Series 7 and Series 30 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.

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Years of Experience

36 years in the financial services industry

Current & Past Employments

GLENFED BROKERAGE SERVICES·CRD# 13648
BD
July 16, 1993 - May 17, 1994
FIRST UNION BROKERAGE SERVICES, INC.·CRD# 8112
BD
February 16, 1993 - June 18, 1993
LEHMAN BROTHERS INC.·CRD# 7506
BD
June 25, 1990 - April 15, 1991
HIBBARD BROWN & CO., INC.·CRD# 18246
BD
February 16, 1990 - June 22, 1990

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Current Firm

GB
GLENFED BROKERAGE SERVICES

GLENDALE BROKERAGE SERVICES, INC. | GLENFED BROKERAGE SERVICES

CRD#: 13648 / SEC#: 8-29578
BD
Terminated by SEC on 02/19/1999

Contact Information

Established

California since 03/20/1969

Firm Type

Corporation

Fiscal Year End

June

Documents

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed May 1990About the Series 63 exam

Series 3 — National Commodity Futures Examination

Passed Mar 1998About the Series 3 exam

Series 7 — General Securities Representative Examination

Passed Feb 1990About the Series 7 exam

Series 30 — NFA Branch Manager Examination

Passed Mar 1998About the Series 30 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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