Benjamin Thomas Mullally
Professional Summary
Benjamin Thomas Mullally, who also goes by Ben Thomas Mullally, is a registered financial advisor currently at ALAMO CAPITAL located in Walnut Creek, California. Benjamin is registered as a RR (Registered Representative) and started their career in finance in 2010. Benjamin has worked at 1 firm and has passed the Series 63, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Ben Thomas Mullally
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
16 years registered in the securities industry
Current & Past Employments
Current
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Current Firm
A.C. WEALTH MANAGEMENT | ALAMO CAPITAL CORPORATION | ALAMO CAPITAL
Contact Information
Main Address
201 N Civic Dr #180, Walnut Creek, CA 94596-3761Mailing Address
201 N Civic Dr Suite 180, Walnut Creek, CA 94596Phone Number
(925) 472-5740Established
California since 08/27/1987Firm Type
CorporationFiscal Year End
JuneFirm Size
Small# of Employees
20SEC notice filing (1 States and Territories)
Registered to provide investment advisory services in 1 US states and territories.
FINRA licenses (41 States and Territories)
Registered to provide investment advisory services in 1 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
19AUM (Assets Under Management)
$103,590,000Disclosures
Regulatory Event
3Bond
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
A.C. WEALTH MANAGEMENT | ALAMO CAPITAL CORPORATION | ALAMO CAPITAL
State Registrations and Notice Filings
(9/25/2024)
(9/16/2010)
(2/15/2018)
(4/5/2012)
(11/21/2018)
(1/10/2019)
(7/31/2019)
(4/29/2025)
(4/19/2016)
(5/15/2018)
(1/3/2017)
(11/21/2018)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Benjamin Thomas Mullally's CRS (Customer Relationship Summary).
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