TM
Terrence M. Mulligan
RETIREMENT PLANNING SOLUTIONS
Louisville, KY 40220
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CRD#: 2599459
TM
Professional summary
Terrence Michael Mulligan, who also goes by Terry M Mulligan, Terry Mulligan, is a registered financial advisor currently at RETIREMENT PLANNING SOLUTIONS, LLC located in Louisville, Kentucky.
Terrence is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Terrence has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Terry M Mulligan | Terry Mulligan
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.
1.) Aetna; Investment-Related; 800 Crescent Centre Drive, Franklin, TN 37067; Insurance Agent; Independent Contractor; Start Date: 3/1/2015; 4 hours devoted monthly; 4 hours devoted monthly during trading hours; I work with potential clients in going over the options of Medicare supplement and ancillary plans. With current clients I review their current plans to search for ways to reduce their costs/premiums. 2.) Anthem Health Insurance; Investment Related; 13550 Triton Park Blvd, Louisville, KY 40223; Insurance Agent; Independent Contractor; Start Date: 4/28/2020; 4 hours devoted monthly; 4 hours devoted monthly during trading hours; To provide guidance on Medicare Supplement Insurance plans to eligible participants. Once identifying the appropriate plan. Sign them up in the plan. 3.) United Health Care: Investment-Related; 9900 Bren Road E, Minnetonka, MN 55343; Independent Contractor; Start Date: 12/1/2021; 4 hours devoted monthly; 4 hours devoted monthly during trading hours; Provide guidance on Medicare Supplement and Medicare Advantage Insurance Plans to eligible participants, once identifying the appropriate plan, sign them up in the plan 4.) Highland Professional Group; Non-Investment Related; 225 S Hurstbourne Pkwy. Louisville, KY 40222; Corporation; Senior Tax Accountant; Start Date: 11/1/2011; 160 hours devoted monthly; 160 hours devoted monthly during trading hours; Prepare tax returns, tax advisory, bookkeeping. 5.) High School Referee; Not Investment-Related; At Location of games; Sole Proprietorship; High School Football Official; Start Date: 9/1/2025; 40 hours devoted monthly; 0 hours devoted during trading hours; Officiates High School and local youth league football games.
CRS (Client Relationship Summary) - RIA
Click below to view Terrence Michael Mulligan'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®
NoneExperience
Current
May 24, 2023 - Present
RETIREMENT PLANNING SOLUTIONS, LLC
Office #1: 3432 Stony Spring Circle, Louisville, KY 40220RIA
CRD#: 311575
Louisville, KY
Past
January 22, 2021 - November 3, 2022
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Louisville, KY
Past
February 6, 2020 - November 3, 2022
AVANTAX PLANNING PARTNERS, INC.
RIA
CRD#: 106237
Louisville, KY
Past
January 6, 2012 - November 15, 2019
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
LOUISVILLE, KY
Past
January 6, 2012 - November 15, 2019
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
LOUISVILLE, KY
Past
May 5, 2008 - January 6, 2012
INVESTMENT ADVISORS INTERNATIONAL, INC.
RIA
CRD#: 139233
LOUISVILLE, KY
Past
February 14, 2008 - January 6, 2012
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
LOUISVILLE, KY
Past
February 16, 2007 - October 18, 2007
NATCITY INVESTMENTS, INC.
RIA
CRD#: 17490
LOUISVILLE, KY
Past
August 16, 2006 - October 18, 2007
NATCITY INVESTMENTS, INC.
BD
CRD#: 17490
LOUISVILLE, KY
Past
April 4, 2006 - August 10, 2006
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
LOUISVILLE, KY
Past
March 16, 2005 - April 11, 2006
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
April 12, 2002 - March 18, 2005
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
DULUTH, GA
Past
January 28, 1997 - April 12, 2002
WMA SECURITIES, INC.
BD
CRD#: 32625
DULUTH, GA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
RP
RETIREMENT PLANNING SOLUTIONS, LLC
CLOVER WEALTH PARTNERS | RPS ADVISORY SOLUTIONS, LLC | RETIREMENT PLANNING SOLUTIONS, LLC
CRD#: 311575 / SEC#: 801-119926
RIA
Registered Investment Advisory firm - (12/4/2020 Approved)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
Kentucky(5/24/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
RP
RETIREMENT PLANNING SOLUTIONS, LLC
CLOVER WEALTH PARTNERS | RPS ADVISORY SOLUTIONS, LLC | RETIREMENT PLANNING SOLUTIONS, LLC
CRD#: 311575 / SEC#: 801-119926
RIA
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Contact information
Main Address
3432 Stony Spring Circle, Louisville, KY 40220
Mailing Address
Phone number
(502) 499-5668
Established
Firm type
Fiscal year end
# of Employees
20
SEC notice filing (19 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,366 |
| AUM (Assets Under Management) | $ 376,782,414 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
RETIREMENT PLANNING SOLUTIONS, LLC
CRD#: 311575Louisville, KY 40220TRUST BUT VERIFY
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