Robert B. 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.
Robert Bernard Mulligan was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1968. Robert had worked at 10 firms and has passed the Series 63, Series 1, Series 8 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 23, 2007 - August 4, 2014
EDWARD JONES
May 1, 1991 - August 4, 2014
EDWARD JONES
March 31, 1987 - January 30, 1990
MFS FINANCIAL SERVICES, INC.
January 24, 1985 - January 9, 1987
MASSACHUSETTS FINANCIAL SERVICES COMPANY
June 29, 1976 - March 5, 1984
A. G. EDWARDS & SONS, INC.
November 6, 1974 - May 28, 1975
AMERICAN GENERAL CAPITAL DISTRIBUTORS INC.
April 26, 1974 - May 29, 1974
MOSELEY, HALLGARTEN & ESTABROOK INC.
April 23, 1974 - June 4, 1976
THE VARIABLE ANNUITY MARKETING COMPANY
September 21, 1973 - April 26, 1974
F. S. MOSELEY, ESTABROOK INC.
July 2, 1973 - September 5, 1975
DUPONT WALSTON, INCORPORATED
December 3, 1968 - July 2, 1973
DUPONT GLORE FORGAN INC.
Primary Firm SEC Registration
EDWARD JONES
CRD#: 250 / SEC#: 801-3297, 8-759
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 1
Date: 11/29/1968
Registered Representative ExaminationSeries 8
Date: 6/28/1982
General Securities Sales Supervisor Examination (Options Module & General Module)Series 00
Date: 2/1/1975
General Securities Principal ExaminationCurrent Firm
EDWARD JONES
CRD#: 250 / SEC#: 801-3297, 8-759
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE JONES FINANCIAL COMPANIES, L.L.L.P. | LIMITED PARTNER | |
| CHUBAK, DAVID | HEAD OF WEALTH MANAGEMENT & FIELD MANAGEMENT | 3254042 |
| EDJ HOLDING COMPANY, INC. | GENERAL PARTNER | |
| GREGO, JENNIFER A | CHIEF COMPLIANCE OFFICER - BROKER/DEALER | 4928947 |
| GUMBS, KEIR DEVON | CHIEF LEGAL OFFICER | 7815615 |
| GUNN, DAVID ALEXANDER | HEAD OF U.S. BUSINESS UNIT | 6150579 |
| JOHNSON, KRISTIN MICHELE | CHIEF OPERATING OFFICER | 2662524 |
| KLOCKE, JOSEPH LAWRENCE | CO-HEAD OF SUPERVISION | 2792068 |
| MIEDLER, ANDREW TIMOTHY | CHIEF FINANCIAL OFFICER | 4620055 |
| O'HANLON, ELIZABETH E | CHIEF COMPLIANCE OFFICER - INVESTMENT ADVISOR | 5834716 |
| PENNINGTON, PENELOPE | CHIEF EXECUTIVE OFFICER | 4037237 |
| PURDY, TODD JUDSON | HEAD OF OPERATIONS | 5623190 |
| WHALLEY, CASEY JOHN | CO-HEAD OF SUPERVISION | 4305865 |
Regulatory assets under management
| Total Number of Accounts | 5,086,856 |
| AUM (Assets Under Management) | $ 824,988,034,503 |
Disclosures
| Regulatory Event | 157 |
| Civil Event | 2 |
| Arbitration | 150 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/25/2025 | ||
| 10/24/2024 | ||
| 09/21/2023 |
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.
