MM
Michael A. Mullane
HARRIS ASSOCIATES SECURITIES L.P.
Chicago, IL 60606
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CRD#: 4737059
MM
Professional summary
Michael A Mullane is a registered financial professional currently at HARRIS ASSOCIATES SECURITIES L.P. located in Chicago, Illinois.
Michael is registered as a RR (Registered Representative) and started their career in finance in 2004. Michael has worked at 6 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Michael A Mullane's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
October 31, 2024 - Present
HARRIS ASSOCIATES SECURITIES L.P.
Office #1: 111 S. Wacker Drive Suite 4600, Chicago, IL 60606BD
CRD#: 6959
Chicago, IL
Past
January 3, 2022 - April 13, 2023
NUVEEN ASSET MANAGEMENT, LLC
RIA
CRD#: 155584
CHICAGO, IL
Past
July 1, 2016 - December 31, 2021
NWQ INVESTMENT MANAGEMENT COMPANY, LLC
RIA
CRD#: 121876
LOS ANGELES, CA
Past
June 6, 2007 - November 30, 2016
TRADEWINDS GLOBAL INVESTORS, LLC
RIA
CRD#: 138476
LOS ANGELES, CA
Past
June 20, 2005 - June 8, 2007
NWQ INVESTMENT MANAGEMENT COMPANY, LLC
RIA
CRD#: 121876
LOS ANGELES, CA
Past
June 20, 2005 - April 13, 2023
NUVEEN SECURITIES, LLC
BD
CRD#: 469
LOS ANGELES, CA
Past
January 25, 2005 - April 22, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
JERSEY CITY, NJ
Past
March 16, 2004 - April 22, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(10/31/2024)
RR
Alaska(10/31/2024)
RR
Arizona(10/31/2024)
RR
Arkansas(10/31/2024)
RR
California(10/31/2024)
RR
Colorado(10/31/2024)
RR
Connecticut(10/31/2024)
RR
Delaware(10/31/2024)
RR
District of Columbia(10/31/2024)
RR
Florida(10/31/2024)
RR
Georgia(10/31/2024)
RR
Hawaii(10/31/2024)
RR
Idaho(10/31/2024)
RR
Illinois(10/31/2024)
RR
Indiana(10/31/2024)
RR
Iowa(10/31/2024)
RR
Kansas(10/31/2024)
RR
Kentucky(10/31/2024)
RR
Louisiana(10/31/2024)
RR
Maine(10/31/2024)
RR
Maryland(10/31/2024)
RR
Massachusetts(10/31/2024)
RR
Michigan(10/31/2024)
RR
Minnesota(10/31/2024)
RR
Mississippi(10/31/2024)
RR
Missouri(10/31/2024)
RR
Montana(10/31/2024)
RR
Nebraska(10/31/2024)
RR
Nevada(10/31/2024)
RR
New Hampshire(10/31/2024)
RR
New Jersey(10/31/2024)
RR
New Mexico(10/31/2024)
RR
New York(10/31/2024)
RR
North Carolina(10/31/2024)
RR
North Dakota(10/31/2024)
RR
Ohio(11/1/2024)
RR
Oklahoma(10/31/2024)
RR
Oregon(10/31/2024)
RR
Pennsylvania(10/31/2024)
RR
Puerto Rico(10/31/2024)
RR
Rhode Island(10/31/2024)
RR
South Carolina(10/31/2024)
RR
South Dakota(10/31/2024)
RR
Tennessee(10/31/2024)
RR
Texas(10/31/2024)
RR
Utah(10/31/2024)
RR
Vermont(10/31/2024)
RR
Virgin Islands(10/31/2024)
RR
Virginia(10/31/2024)
RR
Washington(10/31/2024)
RR
West Virginia(10/31/2024)
RR
Wisconsin(10/31/2024)
RR
Wyoming(10/31/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
HA
HARRIS ASSOCIATES SECURITIES L.P.
HARRIS ASSOCIATES SECURITIES L.P. | HARRIS ASSOCIATES, INC.
CRD#: 6959 / SEC#: , 8-19988
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
111 S. Wacker Drive Suite 4600, Chicago, IL 60606
Mailing Address
111 S. Wacker Drive Suite 4600, Chicago, IL 60606
Phone number
(312) 646-3600
Established
Delaware since 12/12/1986
Firm type
Partnership
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HARRIS ASSOCIATES L.P. | LIMITED PARTNER | |
| HARRIS ASSOCIATES INC. | GENERAL PARTNER | |
| KELLER, CHRISTOPHER WOLFGANG | PRESIDENT | 2865184 |
| PIETRAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 4278774 |
| WEBER, ZACHARY DAVID | PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 5483343 |
| WRIGHT, RANA JEWEL | CHIEF LEGAL AND ADMINISTRATIVE OFFICER | 6357277 |
Disclosures
| Regulatory Event | 2 |
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.
