Timothy E. Mulcahy
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.
Timothy Eneas Mulcahy, who also goes by Timothy E Mulcahy, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1993. Timothy had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 55, Series 25 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 11, 2016 - October 14, 2016
CREDIT SUISSE SECURITIES (USA) LLC
October 10, 2000 - October 14, 2016
CREDIT SUISSE SECURITIES (USA) LLC
September 5, 2000 - October 10, 2000
PERSHING LLC
August 25, 1997 - September 7, 2000
DIRECT BROKERAGE, INC.
June 3, 1997 - August 29, 1997
WALL STREET ACCESS
November 13, 1995 - June 11, 1997
DIRECT BROKERAGE, INC.
May 5, 1993 - August 7, 1995
NYLIFE SECURITIES LLC
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 55
Date: 4/11/2007
Limited Representative-Equity Trader ExamSeries 25
Date: 10/4/2002
NYSE Trading Assistant ExaminationCurrent Firm
CREDIT SUISSE SECURITIES (USA) LLC
CRD#: 816 / SEC#: 801-56264, 8-422
Contact information
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 20 |
| AUM (Assets Under Management) | $ 805,275,346 |
Disclosures
| Regulatory Event | 322 |
| Civil Event | 8 |
| Arbitration | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/26/2023 | ||
| 01/25/2023 |
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.
