Bryan V. Mulligan
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.
Bryan Vincent Mulligan was a registered financial professional .
Bryan is a previously registered financial professional and started their career in finance in 1985. Bryan had worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 4, 2010 - October 6, 2014
TRADITION SECURITIES AND DERIVATIVES LLC
November 1, 2010 - April 12, 2017
AVATAR CAPITAL GROUP LLC
February 26, 2009 - November 1, 2010
TRADITION SECURITIES AND DERIVATIVES LLC
October 19, 1995 - February 26, 2009
TP ICAP GLOBAL MARKETS AMERICAS LLC
December 2, 1993 - October 16, 1995
CEDAR STREET SECURITIES CORP.
March 19, 1993 - December 7, 1993
TP ICAP GLOBAL MARKETS AMERICAS LLC
October 29, 1991 - January 22, 1993
FINANCIAL SQUARE PARTNERS
October 24, 1990 - October 21, 1991
MINT BROKERS
May 15, 1989 - October 25, 1990
CHAPDELAINE CORPORATE SECURITIES & CO
September 8, 1986 - May 8, 1989
MINT BROKERS
July 23, 1985 - August 20, 1986
BROUNOFF, CLAIRE & CO., INC.
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
Current Firm
TRADITION SECURITIES AND DERIVATIVES LLC
CRD#: 28269 / SEC#: , 8-43559
Contact information
FINRA licenses (44 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRADITION AMERICA HOLDINGS INC. ("TAH") | MEMBER | |
| BACCALA, RAYMOND CHARLES | PRESIDENT | 1000495 |
| BRISEBOIS, FRANCOIS | MANAGER | 6613329 |
| GANGI, JOHN JOSEPH | PRINCIPAL FINANCIAL OFFICER | 2909843 |
| LEIBOWITZ, MICHAEL SAUL MR. | MANAGER | 5187937 |
| MARTUSCELLO, MICHAEL HENRY II | CHIEF COMPLIANCE OFFICER - FIXED INCOME | 5359170 |
| MEROLA, DAVID SCOTT | CHIEF COMPLIANCE OFFICER - EQUITIES/OPTIONS | 3154976 |
| RICCIARDI, JUDITH ANN | MANAGER, CHIEF FINANCIAL OFFICER, SECRETARY, TREASURER, FINOP, PRINCIPAL OPERATIONS OFFICER | 2260346 |
| ROSENSHEIN, LARRY NMN | MANAGER | 1534635 |
| WOSTYN, WILLIAM PIERRE | MANAGER | 5608164 |
Disclosures
| Regulatory Event | 32 |
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.
