Peter 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.
Peter Michael Mulligan JR., who also goes by Peter Michael Mulligan, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 2002. Peter had worked at 8 firms and has passed the Series 65, Series 63, Series 31, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 1, 2013 - April 22, 2014
UNITED CAPITAL FINANCIAL ADVISORS
July 22, 2013 - April 29, 2014
GIRARD SECURITIES, INC.
June 26, 2008 - July 23, 2013
SECURIAN FINANCIAL SERVICES, INC.
June 26, 2008 - July 23, 2013
SECURIAN FINANCIAL SERVICES, INC.
March 21, 2006 - June 25, 2008
CETERA WEALTH SERVICES, LLC
March 2, 2006 - June 25, 2008
CETERA WEALTH SERVICES, LLC
April 16, 2004 - February 24, 2006
GUNNALLEN FINANCIAL, INC
June 27, 2003 - April 26, 2004
IFMG SECURITIES, INC.
June 27, 2003 - April 26, 2004
IFMG SECURITIES, INC.
August 29, 2002 - June 16, 2003
MORGAN STANLEY DW INC.
June 26, 2002 - August 7, 2002
LADENBURG CAPITAL MANAGEMENT INC.
Primary Firm SEC Registration
UNITED CAPITAL FINANCIAL ADVISORS
CRD#: 134600 / SEC#: 801-64376
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
UNITED CAPITAL FINANCIAL ADVISORS
CRD#: 134600 / SEC#: 801-64376
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,738 |
| AUM (Assets Under Management) | $ 17,211,052,120 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/01/2024 | ||
| 10/30/2023 | ||
| 01/26/2023 |
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.
