John J. Mulligan

MULLIGAN CAPITAL,

TIGARD, OR 97223

Some features on this profile are disabled

CRD#: 1190392

Professional summary

John Joseph Mulligan, AIF®, CFP®, CIMA® is a registered financial advisor currently at MULLIGAN CAPITAL, INC located in Tigard, Oregon.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. John has worked at 5 firms and has passed the Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Mulligan Capital holds a State of Oregon resident Producer /Agency Insurance license John Mulligan is an Oregon Licensed Producer John Mulligan is the sole Managing Member of: The IRA QLAC Company, LLC -- QLAC Consulting, Sales, and Services. John J Mulligan is a licensed insurance agent for client related insurance product work and services. In this separate capacity as an insurance agent, he may implement insurance recommendations for advisory clients for separate compensation. This may represent a conflict of interest to the extent that insurance product sales result in a commission being paid to John J Mulligan through Mulligan Capital, Inc. Clients of MCI are not under any obligation (no obligation) as to the implementation of said insurance recommendations. The implementation of any or all recommendations is solely at the discretion of the client.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Joseph Mulligan's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

AIF^®

Accredited Investment Fiduciary

CFP^®

Certified Financial Planner

Start date: 1988

CIMA^®

Certified Investment Management Analyst

Experience

Current

April 5, 2007 - Present

MULLIGAN CAPITAL, INC

Office #1: 7110 Sw Fir Loop #255, Tigard, OR 97223

RIA

CRD#: 143406

TIGARD, OR

Past

April 5, 2007 - November 29, 2012

MULLIGAN CAPITAL MANAGEMENT LLC

RIA

CRD#: 143376

TIGARD, OR

Past

August 11, 1995 - April 10, 2000

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

June 12, 1992 - July 10, 1995

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

Past

October 19, 1983 - July 9, 1992

EQUITY SERVICES, INC.

CRD#: 265

MONTPELIER, VT

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Arizona
(1/18/2024)

IAR

Oregon
(10/6/2008)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 7/7/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/17/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/22/1996

General Securities Principal Examination

Current Firm

MULLIGAN CAPITAL, INC

CRD#: 143406 / SEC#:

Arizona

Registered Investment Advisory firm - (1/18/2024 Approved)

Nebraska

Registered Investment Advisory firm - (1/4/2012 Terminated)

Oregon

Registered Investment Advisory firm - (10/2/2008 Approved)

Washington

Registered Investment Advisory firm - (1/14/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

7110 Sw Fir Loop Ste 255, Tigard, OR 97223

Mailing Address

7110 Sw Fir Loop Ste 255, Tigard, OR 97223

Phone number

(503) 352-4019

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	116
AUM (Assets Under Management)	$ 38,665,132

Red Flags

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.

Similar Advisors

Viengsavanh Bounnam

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Vancouver, WA

Devlin Carothers

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Vancouver, WA

Gregory Bowen

MARINER WEALTH

IAR

Portland, OR

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

John J. Mulligan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Joseph Mulligan's CRS (Customer Relationship Summary).

Certified licenses

Experience

MULLIGAN CAPITAL, INC

MULLIGAN CAPITAL MANAGEMENT LLC

LPL FINANCIAL LLC

EDWARD JONES

EQUITY SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/7/1992

Series 7

Date: 9/17/1983

Series 24

Date: 1/22/1996

Current Firm

MULLIGAN CAPITAL, INC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

MULLIGAN CAPITAL, INC

TRUST BUT VERIFY

Similar Advisors