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AM

Alexander S. Mulvey

DFPG INVESTMENTS
Sandy, UT 84070
Some features on this profile are disabled
CRD#: 7323200
AM

Professional summary

Alexander Stephen Mulvey, who also goes by Alex Stephen Mulvey, Alexander Mulvey, is a registered financial professional currently at DFPG INVESTMENTS, LLC located in Sandy, Utah.

Alexander is registered as a RR (Registered Representative) and started their career in finance in 2021. Alexander has worked at 2 firms and has passed the Series 63, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Alex Stephen Mulvey | Alexander Mulvey

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Alexander Stephen Mulvey's CRS (Customer Relationship Summary).
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®
None

Experience

Current

February 4, 2026 - Present

DFPG INVESTMENTS, LLC

Office #1: 9017 S Riverside Drive Suite 210, Sandy, UT 84070
BD
CRD#: 155576
Sandy, UT
Past

April 6, 2021 - September 21, 2021

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SALT LAKE CITY, UT

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 4/16/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 2/4/2026
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 1/5/2026
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

DI
DFPG INVESTMENTS, LLC
1031 CAPITAL SOLUTIONS | WESTRIDGE WEALTH STRATEGIES | THS PRIVATE FAMILY OFFICE | THE CRESTWELL GROUP | SUMMIT GROUP WEALTH ADVISORS | SERRATELLI FINANCIAL GROUP | SENTINELROCK WEALTH ADVISORS | RANCHO PRIVATE WEALTH | PROVIDENCE WEALTH ADVISORS | PLATINUM WEALTH GROUP | PARKVIEW WEALTH ADVISORS | OXFORD FINANCIAL GROUP | NUCLEUS FINANCIAL GROUP | MARCH | KLK CAPITAL MANAGEMENT, LLC | KEY ADVISORS WEALTH MANAGEMENT LLC | HULSEY FINANCIAL | GROVE WEALTH ADVISORS | GOMEZ CORP | GLOBAL WEALTH PARTNERS, INC. | GLIDE FINANCIAL GROUP | GEN 1 FINANCIAL | FULCRUM INVESTMENT SERVICES | FIRST FINANCIAL CENTER OF DALLAS | FINANCIAL RESOURCES INC | DIVERSIFY, INC. | DIVERSIFY ADVISORY SERVICES | DIVERSIFY ADVISOR NETWORK | DFPG INVESTMENTS, LLC | DFPG INVESTMENTS, INC. | DFPG INSURANCE, INC. | CITY CENTER WEALTH ADVISORS | CIPOLLA FINANCIAL ADVISORS | BUTLER FINANCIAL ADVISORS | BRIDGE EQUITIES | BRENT REED FINANCIAL SERVICES | ASHLAND PACIFIC

CRD#: 155576 / SEC#: 801-107896, 8-68730

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
9017 S Riverside Drive Suite 210, Sandy, UT 84070
Mailing Address
9017 S Riverside Drive Suite 210, Sandy, UT 84070
Phone number
(801) 838-9999
Established
Utah since 10/12/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
20

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

DFPG FORM ADV PART 2A (3/29/2024)
DIVERSIFY ADVISORY SERVICES FORM ADV PART 2A (3/29/2024)
DFPG FORM ADV PART 2A_03.28.2023 (3/29/2024)

Direct owners and executive officers

NamePositionCRD#
FALCON PARK CAPITAL, LLCLIMITED LIABILITY COMPANY
ANDERSON, JASONCHIEF COMPLIANCE OFFICER5867122
ANDERSON, JOHN BRADLEYCEO6037308
BADALAMENTI, CHARLES RICHARDFINOP2065038
LAGA, DAVID RYANCFO & COO4919873

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

DFPG INVESTMENTS, LLC

CRD#: 155576Sandy, UT 84070

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