Lori A. Mulqueen
Professional summary
Lori Ann Mulqueen, who also goes by Lori A Mahoney, Lori A. Mahoney, Lori Ann Mahoney, Lori Mahoney, Lori A. Mulqueen, Lori Mulqueen, Lori A Mulqueen, is a registered financial professional currently at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC located in New York, New York and NUVEEN SECURITIES, LLC located in New York, New York.
Lori is registered as a RR (Registered Representative) and started their career in finance in 2022. Lori has worked at 2 firms and has passed the Series 99TO, Series 6TO, SIE and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Lori Ann Mulqueen's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 17, 2022 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #1: 730 Third Avenue Nyc Hub, New York, NY 10017November 10, 2022 - Present
NUVEEN SECURITIES, LLC
Office #1: 730 Third Ave, New York, NY 10017State 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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 6TO
Date: 10/17/2022
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
NUVEEN SECURITIES, LLC
CRD#: 469 / SEC#: , 8-13464
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| Arbitration | 1 |
Red Flags
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