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JM

Joshua Mulholland

FHN FINANCIAL SECURITIES
Syosset, NY 11791
Some features on this profile are disabled
CRD#: 1979856
JM

Professional summary

Joshua Mulholland is a registered financial professional currently at FHN FINANCIAL SECURITIES CORP. located in Syosset, New York.

Joshua is registered as a RR (Registered Representative) and started their career in finance in 1989. Joshua has worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 52 and Series 53 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joshua Mulholland'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

October 5, 2012 - Present

FHN FINANCIAL SECURITIES CORP.

Office #1: 33 Queens Street Suite 302, Syosset, NY 11791
BD
CRD#: 46346
Syosset, NY
Past

October 6, 2008 - October 15, 2012

MESIROW FINANCIAL, INC.

BD
CRD#: 2764
NEW YORK, NY
Past

March 4, 2003 - October 9, 2008

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

March 18, 1999 - February 20, 2003

PRAGER & CO., LLC

BD
CRD#: 21567
SAN FRANCISCO, CA
Past

March 28, 1994 - January 28, 1999

A. F. BEST SECURITIES, INC.

BD
CRD#: 14335
CORAL SPRINGS, FL
Past

July 1, 1992 - March 25, 1994

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

March 26, 1990 - April 22, 1992

TITUS & DONNELLY LLC

BD
CRD#: 7033
NEW YORK, NY
Past

November 10, 1989 - March 26, 1990

G.I.M.B. MUNICIPAL SECURITIES BROKER

BD
CRD#: 16016

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
Connecticut
(10/5/2012)
RR
Florida
(10/30/2018)
RR
Illinois
(1/23/2014)
RR
Maryland
(12/15/2015)
RR
Missouri
(10/5/2012)
RR
Montana
(11/16/2020)
RR
New Jersey
(10/5/2012)
RR
New York
(10/5/2012)
RR
Pennsylvania
(7/7/2020)
RR
Texas
(8/10/2023)
RR
Washington
(1/2/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 12/4/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/30/1992
General Securities Representative Examination
General Industry/Product Exam
RR
Series 52
Date: 11/9/1989
Municipal Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 2/16/1995
Municipal Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

FF
FHN FINANCIAL SECURITIES CORP.
FHN FINANCIAL SECURITIES CORP. | MIDWEST RESEARCH FIRST TENNESSEE SECURITIES CORP. | FTN FINANCIAL SECURITIES CORP | FIRST TENNESSEE SECURITIES CORPORATION | FIRST TENNESSEE SECURITIES CORP.

CRD#: 46346 / SEC#: , 8-51393

BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information

Main Address
1000 Ridgeway Loop Road Suite 200, Memphis, TN 38120
Mailing Address
1000 Ridgeway Loop Road Suite 200, Memphis, TN 38120
Phone number
(901) 435-8080
Established
Tennessee since 10/30/1998
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
FIRST HORIZON BANKSHAREHOLDER
BUCK, WILLIAM JAMES IIPRINCIPAL OPERATING OFFICER3129662
DABROWSKI, MARK GERARDCHIEF COMPLIANCE OFFICER2065647
GRIFFIN, MARK DANIELSVP, RISK CONTROL MANAGER7462222
JACKSON, JEFF BRIANSVP/ TRADING MANAGER2777631
RITCHESON, DONALD ALLENPRINCIPAL FINANCIAL OFFICER / CFO2360009
ROMANOW, TIMOTHY MARKPRESIDENT/CEO2533445
WADDELL, MICHAEL KNOXEVP, DIRECTOR / CHIEF ADMINISTRATIVE OFFICER/SECRETARY5657529

Disclosures

Regulatory Event7
Arbitration1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

FHN FINANCIAL SECURITIES CORP.

CRD#: 46346Syosset, NY 11791

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