Thomas W. Mulligan

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CRD#: 2592309

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.

Thomas Wayne Mulligan, who also goes by Thomas Wayne Mulligan Jr, Tom Mulligan Jr, was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1995. Thomas had worked at 10 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Thomas Wayne Mulligan Jr | Tom Mulligan Jr

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 1, 2015 - April 4, 2018

ALPS DISTRIBUTORS, INC.

CRD#: 16853

San Diego, CA

Past

January 16, 2015 - August 31, 2015

QUASAR DISTRIBUTORS, LLC

CRD#: 103848

PORTLAND, ME

Past

December 3, 2014 - April 3, 2018

BRANDES INVESTMENT PARTNERS, LP

RIA

CRD#: 105404

SAN DIEGO, CA

Past

July 21, 2010 - May 8, 2013

ALLIANZ GLOBAL INVESTORS U.S. LLC

RIA

CRD#: 149003

NEW YORK, NY

Past

April 1, 2010 - April 15, 2013

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

CRD#: 25567

SAN DIEGO, CA

Past

January 16, 2008 - January 3, 2011

NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC

RIA

CRD#: 104606

SAN DIEGO, CA

Past

January 16, 2008 - April 19, 2010

NICHOLAS-APPLEGATE SECURITIES LLC

CRD#: 31205

SAN DIEGO, CA

Past

July 29, 1998 - January 29, 2008

EAGLE ASSET MANAGEMENT INC

RIA

CRD#: 110653

ST. PETERSBURG, FL

Past

June 24, 1998 - December 31, 2007

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

ST. PETERSBURG, FL

Past

March 14, 1995 - August 16, 1996

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 5/8/2015

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 11/22/1995

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 4/4/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/13/1995

General Securities Representative Examination

Current Firm

ALPS DISTRIBUTORS, INC.

ALPS DISTRIBUTORS, INC. | MARINER FUNDS SERVICES INC. | ALPS SECURITIES, INC. | ALPS MUTUAL FUNDS SERVICES, INC.

CRD#: 16853 / SEC#: , 8-34626

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

1290 Broadway Suite 1000, Denver, CO 80203

Mailing Address

1290 Broadway Suite 1000, Denver, CO 80203

Phone number

(303) 623-2577

Established

Colorado since 07/01/1985

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
ALPS HOLDINGS, INC.	PARENT
KYLLO, STEPHEN JOHN	SVP; PRESIDENT; DIRECTOR; CHIEF COMPLIANCE OFFICER; PRINCIPAL OPERATIONS OFFICER	3204474
NECKEL, TARA JILL	VP, DEPUTY CHIEF COMPLIANCE OFFICER	4051739
PARSONS, ERIC T	FINOP, CONTROLLER, PRINCIPAL FINANCIAL OFFICER	5215115

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Thomas W. Mulligan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

QUASAR DISTRIBUTORS, LLC

BRANDES INVESTMENT PARTNERS, LP

ALLIANZ GLOBAL INVESTORS U.S. LLC

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC

NICHOLAS-APPLEGATE SECURITIES LLC

EAGLE ASSET MANAGEMENT INC

RAYMOND JAMES & ASSOCIATES, INC.

PRUDENTIAL EQUITY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/8/2015

Series 65

Date: 11/22/1995

SIE

Date: 4/4/2018

Series 7

Date: 3/13/1995

Current Firm

ALPS DISTRIBUTORS, INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ALPS DISTRIBUTORS, INC.

TRUST BUT VERIFY

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