John R. 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.
John Raymond Mulcahy, who also goes by John R Mulcahy, John Raymond Mulcahy Mr., Sean Raymond Mulcahy Mr., Sean Mulcahy, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2008. John had worked at 4 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 7, 2013 - August 28, 2013
VIRTUS INVESTMENT ADVISERS, LLC
August 5, 2013 - August 28, 2013
VP DISTRIBUTORS LLC
December 14, 2010 - August 10, 2011
COWEN SECURITIES LLC
July 7, 2008 - December 16, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 30, 2008 - December 16, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
VIRTUS INVESTMENT ADVISERS, LLC
CRD#: 106982 / SEC#: 801-5995
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
VIRTUS INVESTMENT ADVISERS, LLC
CRD#: 106982 / SEC#: 801-5995
Contact information
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 105 |
| AUM (Assets Under Management) | $ 53,982,609,839 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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