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RM

Robert J. Mulligan

KIPPSDESANTO & COMPANY

Mclean, VA 22102

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CRD#: 1584973

Professional summary

Robert John Mulligan JR, who also goes by Bob Mulligan, Robert John Mulligan Jr, Robert John Mulligan, is a registered financial professional currently at KIPPSDESANTO & COMPANY located in Mclean, Virginia 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 57TO, SIE, Series 7, Series 3, Series 9, Series 10, Series 4, Series 14 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

Bob Mulligan | Robert John Mulligan Jr | Robert John Mulligan

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert John Mulligan JR'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®

None

Experience

Current

August 23, 2024 - Present

KIPPSDESANTO & COMPANY

Office #1: 1675 Capital One Dr. Suite 1200, Mclean, VA 22102

BD

CRD#: 45763

Mclean, VA

Current

August 23, 2024 - Present

CAPITAL ONE SECURITIES, INC.

Office #1: 299 Park Avenue 28th Floor, New York, NY 10171

BD

CRD#: 44158

New York, NY

Current

August 23, 2024 - Present

TRIPLETREE, LLC

Office #1: 299 Park Avenue 14th Floor, New York, NY 10171

BD

CRD#: 42820

New York, NY

Past

June 3, 2014 - July 11, 2014

WELLS FARGO INSTITUTIONAL SECURITIES, LLC

BD

CRD#: 5958

NEW YORK, NY

Past

May 6, 2008 - November 11, 2022

WELLS FARGO SECURITIES, LLC

BD

CRD#: 126292

CHARLOTTE, NC

Past

May 8, 2007 - April 1, 2008

BANC OF AMERICA SECURITIES LLC

BD

CRD#: 26091

NEW YORK, NY

Past

July 24, 2006 - May 8, 2007

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD

CRD#: 16361

BOSTON, MA

Past

May 5, 2004 - July 24, 2006

BANC OF AMERICA SECURITIES LLC

BD

CRD#: 26091

NEW YORK, NY

Past

February 20, 2004 - April 26, 2004

CASTLEOAK SECURITIES, LP

BD

CRD#: 125334

NEW YORK, NY

Past

April 2, 2002 - April 26, 2004

AQUA SECURITIES L.P.

BD

CRD#: 47681

NEW YORK, NY

Past

April 2, 2002 - April 26, 2004

ESPEED BROKERAGE, L.P.

BD

CRD#: 47968

NEW YORK, NY

Past

April 2, 2002 - April 26, 2004

CANTOR FITZGERALD SECURITIES

BD

CRD#: 19660

NEW YORK, NY

Past

April 2, 2002 - April 26, 2004

MINT BROKERS

BD

CRD#: 13681

NEW YORK, NY

Past

April 2, 2002 - April 26, 2004

CANTOR FITZGERALD & CO.

BD

CRD#: 134

NEW YORK, NY

Past

May 18, 2001 - March 1, 2002

ABN AMRO SECURITIES LLC

BD

CRD#: 6540

NEW YORK, NY

Past

March 17, 1998 - April 4, 2002

ABN AMRO INCORPORATED

BD

CRD#: 15776

STAMFORD, CT

Past

October 8, 1994 - March 16, 1998

YAMAICHI INTERNATIONAL (AMERICA) INC.

BD

CRD#: 909

NEW YORK, NY

Past

April 1, 1993 - September 30, 1994

JPMSI

BD

CRD#: 15733

NEW YORK, NY

Past

July 3, 1991 - March 18, 1993

CREDIT SUISSE SECURITIES (USA) LLC

BD

CRD#: 816

NEW YORK, NY

Past

October 28, 1987 - November 20, 1987

HILL, THOMAS CORPORATION

BD

CRD#: 19682

Past

February 26, 1987 - June 10, 1991

LEHMAN BROTHERS INC.

BD

CRD#: 7506

NEW YORK, NY

State Registrations and Notice Filings

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

RR

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR

California
(8/23/2024)

RR

Connecticut
(8/23/2024)

RR

Florida
(8/23/2024)

RR

Illinois
(8/23/2024)

RR

Louisiana
(8/23/2024)

RR

Maryland
(8/23/2024)

RR

Massachusetts
(8/23/2024)

RR

Minnesota
(8/23/2024)

RR

New York
(8/23/2024)

RR

Pennsylvania
(8/23/2024)

RR

Texas
(8/23/2024)

RR

Virginia
(8/23/2024)

Exams

State Security Law Exam

RR

Series 63

Date: 3/24/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

RR

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

RR

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 7

Date: 2/21/1987

General Securities Representative Examination

General Industry/Product Exam

RR

Series 3

Date: 11/21/1986

National Commodity Futures Examination

Principal/Supervisory Exam

RR

Series 9

Date: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

RR

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

RR

Series 4

Date: 3/6/1997

Registered Options Principal Examination

Principal/Supervisory Exam

RR

Series 14

Date: 3/25/1990

Compliance Officer Examination

Principal/Supervisory Exam

RR

Series 8

Date: 2/13/1990

General Securities Sales Supervisor Examination (Options Module & General Module)

SRO Registrations

RR

FINRA

SRO Registrations

RR

Nasdaq Stock Market

Current Firm

TL

TRIPLETREE, LLC

CHERRY TREE & CO., LLC | TRIPLETREE, LLC

CRD#: 42820 / SEC#: , 8-50015

BD

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

8200 Normandale Lake Blvd 7th Floor, Bloomington, MN 55437

Mailing Address

8200 Normandale Lake Blvd 7th Floor, Bloomington, MN 55437

Phone number

(952) 223-8400

Established

Minnesota since 01/13/1997

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (3 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
CAPITAL ONE, N.A.	SHAREHOLDER
HALPRIN, GABRIELLE BAILLEUX	CHIEF FINANCIAL OFFICER/FINOP	5087341
MULLIGAN, ROBERT	CHIEF COMPLIANCE OFFICER	1584973
ROER, PATRICIA LANG	DIRECTOR	3157205
ROTH, JUSTIN J	PRESIDENT/HEAD OF INVESTMENT BANKING	6886704
TULIP, STEVEN ANDREW	DIRECTOR	2540149

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

TRIPLETREE, LLC

CRD#: 42820Mclean, VA 22102

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