EM
Eric M. Mulligan
U.S. BANCORP INVESTMENTS
Omaha, NE 68102
Some features on this profile are disabled
CRD#: 5893054
EM
Professional summary
Eric Michael Mulligan is a registered financial advisor currently at U.S. BANCORP INVESTMENTS, INC. located in Omaha, Nebraska.
Eric is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Eric has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1) 11/18/2021 - Mulligan Asset Management LLC - Business Entity For Tax/Investment Purposes Only - Owner - Non-Inv Rel - Omaha, NE - Start: 11/2021 2) 04/07/2022- Gladstone Institutional Advisory - DBA: Gladstone Wealth Partners - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date - 03/31/2022 - 160 Hours Per Month/8 Hours During Securities Trading - I provide investment advisory services through Gladstone Institutional Advisory, an independent investment advisor firm. I started this business activity in 4/2022. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial 3) 11/2021 - LPL Financial - broker-dealer registered representative - Investment Related - At Reported Business Location(s) - 80 hours a month during securities trading. 4) 03/2022 - Gladstone Institutional Advisory, LLC - DBA: (Hybrid) Silverleaf Wealth Management - Investment Related - At Reported Business Location(s) - Registered Investment Adviser Hybrid - 80 hours a month during securities trading.
CRS (Client Relationship Summary) - RIA
Click below to view Eric Michael Mulligan's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Eric Michael Mulligan'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
November 28, 2023 - Present
U.S. BANCORP INVESTMENTS, INC.
Office #1: 1700 Farnam St, Omaha, NE 68102Office #2: 1001 Fort Crook Rd N, Bellevue, NE 68005Office #3: 7519 N 30th St, Omaha, NE 68112Office #4: 711 N 205th St, Elkhorn, NE 68022Office #5: 14301 Fnb Prkwy, Ste 315, Omaha, NE 68154RIA
BD
CRD#: 17868
Omaha, NE
Current
November 13, 2023 - Present
U.S. BANCORP INVESTMENTS, INC.
Office #1: 1700 Farnam St, Omaha, NE 68102Office #2: 1001 Fort Crook Rd N, Bellevue, NE 68005Office #3: 7519 N 30th St, Omaha, NE 68112Office #4: 711 N 205th St, Elkhorn, NE 68022Office #5: 14301 Fnb Prkwy, Ste 315, Omaha, NE 68154RIA
BD
CRD#: 17868
Omaha, NE
Past
March 2, 2022 - November 16, 2023
GLADSTONE WEALTH PARTNERS
RIA
CRD#: 250787
OMAHA, NE
Past
December 14, 2021 - March 31, 2022
SILVERLEAF ADVISOR GROUP, LLC
RIA
CRD#: 286071
OMAHA, NE
Past
November 30, 2021 - November 24, 2023
LPL FINANCIAL LLC
BD
CRD#: 6413
OMAHA, NE
Past
July 31, 2014 - December 10, 2021
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
OMAHA, NE
Past
April 15, 2014 - December 10, 2021
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
OMAHA, NE
Past
December 19, 2013 - April 17, 2014
TD AMERITRADE, INC.
BD
CRD#: 7870
OMAHA, NE
Past
January 26, 2012 - May 1, 2012
SECURITIES AMERICA, INC.
BD
CRD#: 10205
LAVISTA, NE
Past
March 3, 2011 - June 16, 2011
PACIFIC SELECT DISTRIBUTORS, LLC
BD
CRD#: 4452
OMAHA, NE
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
UB
U.S. BANCORP INVESTMENTS, INC.
CENTRAL INVESTMENT SERVICES, INC. | US BANCORP | U.S. BANCORP INVESTMENTS, INC. | U.S. BANCORP INVESTMENTS | FBS INVESTMENT SERVICES, INC.
CRD#: 17868 / SEC#: 801-68122, 8-35359
RIA
Registered Investment Advisory firm - SEC (7/23/2007 Approved)Arizona
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Arkansas
Registered Investment Advisory firm - SEC (7/26/2007 Terminated)California
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Colorado
Registered Investment Advisory firm - SEC (7/26/2007 Terminated)Idaho
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Illinois
Registered Investment Advisory firm - SEC (7/23/2007 Terminated)Iowa
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Kentucky
Registered Investment Advisory firm - SEC (7/25/2007 Terminated)Missouri
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Nebraska
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Nevada
Registered Investment Advisory firm - SEC (8/15/2007 Terminated)Ohio
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Oregon
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)South Dakota
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Tennessee
Registered Investment Advisory firm - SEC (8/23/2007 Terminated)Texas
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Utah
Registered Investment Advisory firm - SEC (8/23/2007 Terminated)Washington
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
California(7/1/2024)
RR
Georgia(2/13/2025)
RR
Hawaii(3/11/2025)
RR
Iowa(12/6/2024)
RR
Nebraska(11/13/2023)
IAR
Nebraska(11/28/2023)
RR
South Dakota(5/29/2025)
RR
Washington(4/1/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
UB
U.S. BANCORP INVESTMENTS, INC.
CENTRAL INVESTMENT SERVICES, INC. | US BANCORP | U.S. BANCORP INVESTMENTS, INC. | U.S. BANCORP INVESTMENTS | FBS INVESTMENT SERVICES, INC.
CRD#: 17868 / SEC#: 801-68122, 8-35359
RIA
Registered Investment Advisory firm - SEC (7/23/2007 Approved)Arizona
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Arkansas
Registered Investment Advisory firm - SEC (7/26/2007 Terminated)California
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Colorado
Registered Investment Advisory firm - SEC (7/26/2007 Terminated)Idaho
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Illinois
Registered Investment Advisory firm - SEC (7/23/2007 Terminated)Iowa
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Kentucky
Registered Investment Advisory firm - SEC (7/25/2007 Terminated)Missouri
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Nebraska
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Nevada
Registered Investment Advisory firm - SEC (8/15/2007 Terminated)Ohio
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Oregon
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)South Dakota
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Tennessee
Registered Investment Advisory firm - SEC (8/23/2007 Terminated)Texas
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Utah
Registered Investment Advisory firm - SEC (8/23/2007 Terminated)Washington
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
60 Livingston Avenue Ep-mn-n2wc, Saint Paul, MN 55107
Mailing Address
60 Livingston Avenue Ep-mn-n2wc, Saint Paul, MN 55107
Phone number
(800) 888-4700
Established
Delaware since 02/25/1974
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
2,152
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| U.S. BANCORP | PARENT CORPORATION | |
| AHMAD, MASOOD | SENIOR VICE PRESIDENT, OPERATIONS MANAGER | 7887624 |
| BEJASA, EILEEN | DIRECTOR | 7002808 |
| CLARK, SHANNON KEITH | DIRECTOR AND CHIEF FINANCIAL OFFICER | 5829700 |
| FERGUSON, KIMBERLY NICOLE | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 4120145 |
| FLOUM, JOEL IRA | DIRECTOR | 2405754 |
| LAWLOR, BETH D | DIRECTOR | 5352662 |
| MCCARTHY, MATTHEW RYAN | CHIEF LEGAL OFFICER | 6818984 |
| MOLLOY, JOHN WILLIAM JR. | DIRECTOR | 1939358 |
| ROLLAND, JODI THOMPSON | DIRECTOR | 2290884 |
| SALSTROM, KYLE NORMAN | CHIEF COMPLIANCE OFFICER, DIRECTOR | 5025315 |
| STEGEMEYER, STEPHEN KYLE | DIRECTOR | 2793064 |
| STEINER, STEPHEN WARD | CHIEF OPERATING OFFICER, SENIOR VICE PRESIDENT AND DIRECTOR | 2259345 |
| WHANG, JAMES | DIRECTOR | 2737019 |
Regulatory assets under management
| Total Number of Accounts | 66,996 |
| AUM (Assets Under Management) | $ 19,296,734,956 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 12 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/19/2024 | ||
| 11/21/2023 |
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.
Company Information
U.S. BANCORP INVESTMENTS, INC.
CRD#: 17868Omaha, NE 68102TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
