Edward J. 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.
Edward J Mulcahy, who also goes by Edward James Mulcahy III, Edward James Mulcahy, Ned J Mulcahy, Ned Mulcahy, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1998. Edward had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 31, Series 55, 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
October 1, 2013 - July 19, 2022
BARINGS SECURITIES LLC
January 22, 2009 - September 26, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 18, 2008 - September 26, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 30, 2007 - August 25, 2008
PRINCIPAL FUNDS DISTRIBUTOR, INC.
June 15, 2004 - August 25, 2008
PRINCIPAL SECURITIES, INC.
March 4, 2002 - February 17, 2004
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
December 15, 2000 - September 6, 2001
AEGIS CAPITAL CORP.
July 7, 1999 - February 15, 2000
THE BUCKINGHAM RESEARCH GROUP INCORPORATED
January 30, 1998 - June 24, 1999
CITIGROUP GLOBAL MARKETS INC.
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: 3/16/2001
Limited Representative-Equity Trader ExamCurrent Firm
BARINGS SECURITIES LLC
CRD#: 36929 / SEC#: , 8-47589
Contact information
FINRA licenses (52 States and Territories)
Documents
Red Flags
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