Steven M. Mullooly

MULLOOLY WEALTH PLANNING LLC

Clover, SC 29710

Some features on this profile are disabled

CRD#: 1868602

Professional summary

Steven Michael Mullooly is a registered financial advisor currently at MULLOOLY WEALTH PLANNING LLC located in Clover, South Carolina.

Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Steven has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 14, Series 10, Series 9, Series 24, Series 8 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Compliance Risk Concepts - Compliance Consultant

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Michael Mullooly'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

November 23, 2023 - Present

MULLOOLY WEALTH PLANNING LLC

Office #1: 264 Latitude Lane Suite 102, Clover, SC 29710

RIA

CRD#: 324792

Clover, SC

Past

June 16, 2025 - September 15, 2025

OSAIC WEALTH, INC.

CRD#: 23131

LANCASTER, PA

Past

July 27, 2009 - September 6, 2022

ALPS DISTRIBUTORS, INC.

CRD#: 16853

NEW YORK CITY, NY

Past

May 21, 2008 - July 24, 2009

QUASAR DISTRIBUTORS, LLC

CRD#: 103848

PORTLAND, ME

Past

November 29, 2004 - June 15, 2006

LADENBURG THALMANN & CO. INC.

CRD#: 505

NEW YORK, NY

Past

January 17, 2003 - June 7, 2004

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

July 10, 2000 - January 17, 2003

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Past

January 10, 1994 - July 8, 2000

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Past

July 31, 1993 - January 25, 1994

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

September 4, 1990 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

August 23, 1988 - July 31, 1990

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

South Carolina
(11/23/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/19/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/21/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 3/4/1991

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 8/20/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 6/16/2025

Compliance Officer Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 24

Date: 7/24/1996

General Securities Principal Examination

Principal/Supervisory Exam

Series 8

Date: 4/24/1995

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

Principal/Supervisory Exam

Series 4

Date: 5/27/1994

Registered Options Principal Examination

Current Firm

MULLOOLY WEALTH PLANNING LLC

CRD#: 324792 / SEC#:

South Carolina

Registered Investment Advisory firm - (11/22/2023 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

264 Latitude Lane Suite 102, Clover, SC 29710

Mailing Address

Phone number

(803) 272-1003

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	7
AUM (Assets Under Management)	$ 574,116

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.

Similar Advisors

Andrew Digirolamo

PFS INVESTMENTS INC.

Charlotte, NC

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Steven M. Mullooly

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Michael Mullooly's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

ALPS DISTRIBUTORS, INC.

QUASAR DISTRIBUTORS, LLC

LADENBURG THALMANN & CO. INC.

CREDIT SUISSE SECURITIES (USA) LLC

PERSHING LLC

MORGAN STANLEY & CO. LLC

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 8/19/2023

Series 63

Date: 9/21/1988

SIE

Date: 10/1/2018

Series 3

Date: 3/4/1991

Series 7

Date: 8/20/1988

Series 14

Date: 6/16/2025

Series 10

Date: 1/2/2023

Series 9

Date: 1/2/2023

Series 24

Date: 7/24/1996

Series 8

Date: 4/24/1995

Series 4

Date: 5/27/1994

Current Firm

MULLOOLY WEALTH PLANNING LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

MULLOOLY WEALTH PLANNING LLC

TRUST BUT VERIFY

Similar Advisors