Eugene M. 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.
Eugene M Mulligan, who also goes by Eugene M Mulligan, Eugene Michael Mulligan, Gene Mulligan, was a registered financial professional .
Eugene is a previously registered financial professional and started their career in finance in 1989. Eugene had worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7, Series 3, Series 24, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 11, 2019 - July 22, 2020
ROCKEFELLER FINANCIAL LLC
January 11, 2019 - July 22, 2020
ROCKEFELLER FINANCIAL LLC
January 31, 2014 - July 2, 2018
OSAIC FA, INC.
January 30, 2014 - July 2, 2018
OSAIC FS, INC.
January 30, 2014 - July 2, 2018
OSAIC FA, INC.
December 18, 2008 - October 1, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 18, 2008 - October 1, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 20, 2007 - October 1, 2013
MANAGED ACCOUNT ADVISORS LLC
August 11, 2004 - June 12, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 24, 1989 - June 12, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
ROCKEFELLER FINANCIAL LLC
CRD#: 291361 / SEC#: 801-114033, 8-70054
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
Series 7TO
Date: 4/23/2024
General Securities Representative ExaminationSeries 8
Date: 4/13/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ROCKEFELLER FINANCIAL LLC
CRD#: 291361 / SEC#: 801-114033, 8-70054
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 76,628 |
| AUM (Assets Under Management) | $ 70,030,224,514 |
Disclosures
| Regulatory Event | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/24/2025 | ||
| 08/26/2024 | ||
| 09/27/2023 |
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.
