Michael W. Mulligan

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CRD#: 806943

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.

Michael William Mulligan, CFP® was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1975. Michael had worked at 10 firms and has passed the Series 65, Series 63, Series 7TO, SIE, PC, Series 24, Series 4 and Series 00 exams.

Question & Answer

Are you a "fiduciary"?

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.

I*117421 For profit or not for profit: For-Profit Organization Name of outside business organization: The Fishery 928 LLc Investment related: Y Address of business: Ship Bottom, New Jersey 8008 Nature of business: Limited Partnership, Position, title, association: Owner, Start date of relationship: 43617 Number of hours devoted: 5 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: Rental Property. My responsibility will be to manage the property manager.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1989

Experience

Past

September 17, 2010 - January 3, 2023

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

WAYNE, NJ

Past

September 17, 2010 - January 3, 2023

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

WAYNE, NJ

Past

January 12, 2009 - September 20, 2010

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

TOTOWA, NJ

Past

June 24, 2003 - January 12, 2009

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA

CRD#: 6694

TOTOWA, NJ

Past

June 9, 2003 - September 20, 2010

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

TOTOWA, NJ

Past

July 31, 2002 - July 8, 2003

GREATER COMMUNITY FINANCIAL, L.L.C.

RIA

CRD#: 41452

CLIFTON, NJ

Past

December 5, 2001 - June 3, 2002

BNY MELLON SECURITIES LLC

CRD#: 47268

JERSEY CITY, NJ

Past

January 11, 2000 - December 5, 2001

CONSECO SECURITIES, INC.

CRD#: 29367

CARMEL, IN

Past

June 17, 1997 - January 11, 2000

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

AUSTIN, TX

Past

February 18, 1997 - July 8, 2003

GREATER COMMUNITY FINANCIAL, L.L.C.

CRD#: 41452

CLIFTON, NJ

Past

September 10, 1990 - March 6, 1997

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

January 9, 1978 - March 23, 1979

OUTWATER & WELLS, INC.

CRD#: 2959

Past

April 2, 1975 - September 12, 1990

RYAN BECK & CO.

CRD#: 3248

FLORHAM PARK, NJ

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".

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH PIERCE FENNER & SMITH | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | MERRILL LYNCH PIERCE FENNER & SMITH INC.

CRD#: 7691 / SEC#: 801-14235, 8-7221

RIA

Registered Investment Advisory firm - SEC (12/8/1978 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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.

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

State Security Law Exam

IAR

Series 65

Date: 7/22/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/25/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

PC

Date: 2/24/1995

AMEX Put and Call Exam

Principal/Supervisory Exam

Series 24

Date: 1/2/2023

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 3/15/2001

Registered Options Principal Examination

Principal/Supervisory Exam

Series 00

Date: 3/31/1975

General Securities Principal Examination

Current Firm

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH PIERCE FENNER & SMITH | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | MERRILL LYNCH PIERCE FENNER & SMITH INC.

CRD#: 7691 / SEC#: 801-14235, 8-7221

RIA

Registered Investment Advisory firm - SEC (12/8/1978 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

One Bryant Park, New York, NY 10036

Mailing Address

150 N College St Nc1-028-29-04, Charlotte, NC 28255

Phone number

(800) 637-7455

Established

Delaware since 11/10/1958

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

33,689

SEC notice filing (49 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

MERRILL LYNCH FIDUCIARY ADVISORY SERVICES (12/3/2025)

MERRILL GUIDED INVESTING BROCHURE (11/14/2025)

MERRILL PERSONAL RETIREMENT STRATEGY (11/14/2025)

MERRILL GUIDED INVESTING WITH ADVISOR BROCHURE (11/14/2025)

MERRILL SMALL BUSINESS 401(K) ADVISORY SERVICE (11/10/2025)

MAA MLPFS 2A FOR SELECT PORTFOLIO SOLUTIONS (3/21/2025)

MERRILL EDGE ADVISORY ACCOUNT BROCHURE (3/21/2025)

ADVICE ACCESS BROCHURE (3/21/2025)

MERRILL LYNCH INSTITUTIONAL INVESTMENT CONSULTING (3/21/2025)

MERRILL LYNCH INVESTMENT ADVISORY PROGRAM BROCHURE (3/21/2025)

MERRILL LYNCH MANAGED ACCOUNT SERVICE BROCHURE (3/21/2025)

MERRILL LYNCH STRATEGIC PORTFOLIO ADVISOR SERVICE BROCHURE (3/21/2025)

Direct owners and executive officers

Name	Position	CRD#
BAC NORTH AMERICA HOLDING COMPANY	SHAREHOLDER
AXELROD, SUSAN F	CHIEF COMPLIANCE OFFICER	6949587
FAHMY, NANCY MONIR	DIRECTOR	2689751
GELLENE, MATTHEW THOMAS	DIRECTOR	1977160
HANS, LINDSAY DENARDO	STATE DESIGNATED PRINCIPAL & DIRECTOR	4429443
HEATON, DAVID CARLETON JR	CHIEF LEGAL OFFICER	5972432
MOONEY, SARA RATHBONE	CHIEF FINANCIAL OFFICER	7616382
SABBIA, LORNA ROSE	DIRECTOR	1873495
SANTANNA, VINCENT C.	CHIEF OPERATIONS OFFICER & FINOP	5290525
SCHIMPF, ERIC A	DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL	2494318

Regulatory assets under management

Total Number of Accounts	3,085,811
AUM (Assets Under Management)	$ 1,511,090,925,436

Disclosures

Regulatory Event	610
Civil Event	4
Arbitration	878

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/25/2024	Cover Page	Report
08/24/2023	Cover Page	Report
01/27/2023	Cover Page	Report

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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Michael W. Mulligan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

GREATER COMMUNITY FINANCIAL, L.L.C.

BNY MELLON SECURITIES LLC

CONSECO SECURITIES, INC.

KESTRA INVESTMENT SERVICES, LLC

GREATER COMMUNITY FINANCIAL, L.L.C.

CITIGROUP GLOBAL MARKETS INC.

OUTWATER & WELLS, INC.

RYAN BECK & CO.

Primary Firm SEC Registration

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 7/22/1996

Series 63

Date: 7/25/1983

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

PC

Date: 2/24/1995

Series 24

Date: 1/2/2023

Series 4

Date: 3/15/2001

Series 00

Date: 3/31/1975

Current Firm

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Contact information

SEC notice filing (49 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

TRUST BUT VERIFY

Contact information

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