Grady D. Mulligan
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.
Grady Dean Mulligan was a registered financial professional .
Grady is a previously registered financial professional and started their career in finance in 2025. Grady had worked at 1 firm and has passed the Series 63, Series 52TO, Series 7TO and SIE exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 8, 2025 - April 22, 2026
TRB CAPITAL MARKETS, 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
Exams
Series 52TO
Date: 12/23/2025
Municipal Securities Representative ExaminationSeries 7TO
Date: 9/8/2025
General Securities Representative ExaminationCurrent Firm
TRB CAPITAL MARKETS, LLC
CRD#: 322618 / SEC#: , 8-70999
Contact information
FINRA licenses (46 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TEXAS REGIONAL BANK | OWNER | |
| COULTER, ROBERT VINCENT | CHIEF COMPLIANCE OFFICER/MUNICIPAL SECURITIES PRINCIPAL | 4211707 |
| HEBERT, MICHAEL JAMES | COMPLIANCE OFFICER/VP/SROP | 1229298 |
| HINOJOSA, NOE JR | PRESIDENT - MUNICIPAL BANKING | 1782212 |
| JOHNSON, KRISTY KAY | FINOP | 4470948 |
| TIPPIT, JOHN LEE IV | CEO/PRESIDENT OF CAPITAL MARKETS | 5809446 |
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.
