Robert Mulligan
Professional Summary
Robert Mulligan, who also goes by Bob Mulligan, Robert John Mulligan Jr, Robert John Mulligan, is a registered financial advisor currently at KIPPSDESANTO & COMPANY located in New York, New York and CAPITAL ONE SECURITIES, INC. located in New York, New York. Robert is registered as a RR (Registered Representative) and started their career in finance in 1987. Robert has worked at 20 firms and has passed the Series 63, Series 79TO, Series 99TO, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Bob Mulligan, Robert John Mulligan Jr, Robert John Mulligan
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Contact Information
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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
40 years in the financial services industry
Current & Past Employments
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Current Firm
CHERRY TREE & CO., LLC | TRIPLETREE, LLC
Contact Information
Main Address
8200 Normandale Lake Blvd 7th Floor, Bloomington, MN 55437Mailing Address
8200 Normandale Lake Blvd 7th Floor, Bloomington, MN 55437Phone Number
(952) 223-8400Established
Minnesota since 01/13/1997Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (3 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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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
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2023About the Series 9 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2023About the Series 10 examSeries 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Feb 1990SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Robert Mulligan's CRS (Customer Relationship Summary).
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