Sara J. Mulvihill
Professional summary
Sara Jane Mulvihill, who also goes by Sara J Mulvihill, Sara Mulvihill, is a registered financial professional currently at HIGHTOWER SECURITIES, LLC located in Naples, Florida.
Sara is registered as a RR (Registered Representative) and started their career in finance in 2022. Sara has worked at 2 firms and has passed the Series 66, Series 6TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Sara Jane Mulvihill's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 21, 2025 - Present
HIGHTOWER SECURITIES, LLC
Office #1: 9045 Strada Stell Ct. Suite 303, Naples, FL 34109January 28, 2022 - February 18, 2025
J.P. MORGAN SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/21/2025)
Exams
Series 6TO
Date: 1/28/2022
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
HIGHTOWER SECURITIES, LLC
CRD#: 116681 / SEC#: , 8-53560
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HIGHTOWER HOLDING, LLC | PARENT COMPANY | |
| BESSO, DOUGLAS JOSEPH | CTO | 1530829 |
| COVIELLO, BARRY ANTHONY | EXECUTIVE DIRECTOR, NATIONAL FIELD SUPERVISION | 1813688 |
| GRAY, KENDRA | MUNICIPAL PRINCIPAL | 4388082 |
| GRAY, KENDRA | CHIEF COMPLIANCE OFFICER | 4388082 |
| KARL, MATTHEW JAMES | PRINCIPAL FINANCIAL OFFICER (PFO) & FINOP | 5361093 |
| SMITH, SCOTT DAVID | CHIEF EXECUTIVE OFFICER | 2523535 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
