Daniel P. Mullan
Professional summary
Daniel P Mullan was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Daniel is a previously registered financial advisor and started their career in finance in 1997. Prior to being barred, Daniel had worked at 15 firms, which includes EAGLE STRATEGIES LLC, NYLIFE SECURITIES LLC, WELLS FARGO ADVISORS FINANCIAL NETWORK LLC, WELLS FARGO CLEARING SERVICES LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, RAYMOND JAMES FINANCIAL SERVICES INC., EDWARD JONES, AMERIPRISE FINANCIAL SERVICES LLC, IDS LIFE INSURANCE COMPANY, LADENBURG THALMANN & CO. INC., LADENBURG CAPITAL MANAGEMENT INC., PRUCO SECURITIES LLC., A.J. MICHAELS & CO. LTD., PRUDENTIAL EQUITY GROUP LLC, BG CAPITAL INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 21, 2015 - February 4, 2016
EAGLE STRATEGIES LLC
December 5, 2014 - February 4, 2016
NYLIFE SECURITIES LLC
August 22, 2011 - October 28, 2014
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
August 12, 2011 - October 28, 2014
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
May 14, 2009 - August 12, 2011
WELLS FARGO CLEARING SERVICES, LLC
May 8, 2009 - August 12, 2011
WELLS FARGO CLEARING SERVICES, LLC
December 17, 2007 - May 12, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 27, 2007 - May 12, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 12, 2004 - October 2, 2007
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 28, 2002 - October 2, 2007
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 8, 2000 - August 30, 2002
EDWARD JONES
October 5, 1998 - February 10, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
October 2, 1998 - February 10, 2000
IDS LIFE INSURANCE COMPANY
March 16, 1998 - October 21, 1998
LADENBURG THALMANN & CO. INC.
July 30, 1997 - September 16, 1997
LADENBURG CAPITAL MANAGEMENT INC.
July 22, 1997 - February 6, 1998
PRUCO SECURITIES, LLC.
April 15, 1997 - July 14, 1997
A.J. MICHAELS & CO., LTD.
March 7, 1997 - April 4, 1997
PRUDENTIAL EQUITY GROUP, LLC
March 7, 1997 - April 30, 1997
BG CAPITAL, INC.
Primary Firm SEC Registration
EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
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
EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 111,361 |
| AUM (Assets Under Management) | $ 25,395,380,570 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 04/25/2024 | ||
| 12/20/2023 |
Red Flags
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