Robert P. 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.
Robert Paul Mulligan, who also goes by Bob Mulligan, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1988. Robert had worked at 16 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 18, 2018 - December 31, 2021
COMPASS SECURITIES CORPORATION
February 6, 2017 - May 4, 2018
AUSDAL FINANCIAL PARTNERS, INC.
October 5, 2010 - February 9, 2015
FUNDS DISTRIBUTOR, LLC
August 30, 2010 - September 27, 2010
NEXBANK SECURITIES INC
February 27, 2008 - May 20, 2010
GE INVESTMENT DISTRIBUTORS, INC
February 19, 2008 - February 28, 2008
TRANSAMERICA INVESTMENT MANAGEMENT, LLC
June 13, 2001 - February 28, 2008
TRANSAMERICA CAPITAL, LLC
March 12, 1999 - July 2, 2001
CAPITAL BROKERAGE CORPORATION
March 20, 1997 - February 11, 1999
GE INVESTMENT DISTRIBUTORS, INC
July 31, 1996 - January 27, 1997
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
April 22, 1996 - July 16, 1996
JARON EQUITIES CORP.
October 9, 1993 - December 8, 1995
OCC DISTRIBUTORS LLC
May 15, 1990 - July 20, 1993
COLONIAL INVESTMENT SERVICES
November 14, 1989 - March 12, 1990
IDS LIFE INSURANCE COMPANY
November 14, 1989 - March 12, 1990
AMERIPRISE FINANCIAL SERVICES, LLC
January 24, 1989 - May 16, 1989
THE STUART-JAMES COMPANY, INCORPORATED
August 18, 1988 - May 2, 1989
COLONIAL INVESTMENT SERVICES, 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
COMPASS SECURITIES CORPORATION
CRD#: 16168 / SEC#: , 8-33438
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
