Terrence M. Mulligan
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.
Terrence Michael Mulligan, who also goes by Terry M Mulligan, Terry Mulligan, was a registered financial professional .
Terrence is a previously registered financial professional and started their career in finance in 1997. Terrence had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 24, 2023 - January 6, 2026
RETIREMENT PLANNING SOLUTIONS, LLC
January 22, 2021 - November 3, 2022
AVANTAX INVESTMENT SERVICES, INC.
February 6, 2020 - November 3, 2022
AVANTAX PLANNING PARTNERS, INC.
January 6, 2012 - November 15, 2019
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 6, 2012 - November 15, 2019
TRANSAMERICA FINANCIAL ADVISORS, LLC
May 5, 2008 - January 6, 2012
INVESTMENT ADVISORS INTERNATIONAL, INC.
February 14, 2008 - January 6, 2012
WORLD GROUP SECURITIES, INC.
February 16, 2007 - October 18, 2007
NATCITY INVESTMENTS, INC.
August 16, 2006 - October 18, 2007
NATCITY INVESTMENTS, INC.
April 4, 2006 - August 10, 2006
UBS FINANCIAL SERVICES INC.
March 16, 2005 - April 11, 2006
OSAIC WEALTH, INC.
April 12, 2002 - March 18, 2005
WORLD GROUP SECURITIES, INC.
January 28, 1997 - April 12, 2002
WMA SECURITIES, INC.
Primary Firm SEC Registration
RETIREMENT PLANNING SOLUTIONS, LLC
CRD#: 311575 / SEC#: 801-119926
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
RETIREMENT PLANNING SOLUTIONS, LLC
CRD#: 311575 / SEC#: 801-119926
Contact information
SEC notice filing (16 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,366 |
| AUM (Assets Under Management) | $ 376,782,414 |
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.
