Mushtaq A. Mulla
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.
Mushtaq Ahmed Mulla, who also goes by Mush Mulla, Mushtaq A Mulla, was a registered financial professional .
Mushtaq is a previously registered financial professional and started their career in finance in 1977. Mushtaq had worked at 14 firms and has passed the Series 63, Series 31, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 15, 2007 - January 8, 2013
STIFEL, NICOLAUS & COMPANY, INCORPORATED
September 29, 2000 - February 15, 2007
RBC CAPITAL MARKETS, LLC
March 14, 1996 - October 10, 2000
J.P. MORGAN SECURITIES LLC
July 15, 1994 - February 23, 1996
H.J. MEYERS & CO., INC.
July 13, 1993 - August 12, 1994
FIRST ASSET MANAGEMENT, INC.
June 18, 1991 - July 31, 1991
UBS FINANCIAL SERVICES INC.
December 5, 1990 - June 18, 1991
JJC SECURITIES CO., INC.
August 26, 1988 - December 13, 1990
LEGG MASON WOOD WALKER, INCORPORATED
April 28, 1987 - October 17, 1988
PRUDENTIAL EQUITY GROUP, LLC
March 13, 1984 - May 7, 1987
FAHNESTOCK INTERNATIONAL INC.
February 2, 1982 - July 2, 1982
PRUDENTIAL EQUITY GROUP, LLC
April 2, 1981 - December 10, 1981
TUCKER ANTHONY INCORPORATED
December 23, 1980 - March 19, 1981
MORGAN STANLEY DW INC.
August 9, 1978 - December 17, 1980
KIDDER, PEABODY & CO. INCORPORATED
July 20, 1977 - June 1, 1978
LINCOLN FINANCIAL DISTRIBUTORS, INC.
Primary Firm SEC Registration
STIFEL, NICOLAUS & COMPANY, INCORPORATED
CRD#: 793 / SEC#: 801-10746, 8-1447
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 1
Date: 7/13/1977
Registered Representative ExaminationCurrent Firm
STIFEL, NICOLAUS & COMPANY, INCORPORATED
CRD#: 793 / SEC#: 801-10746, 8-1447
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STIFEL FINANCIAL CORP. | SHAREHOLDER | |
| AYD, PAUL JOSEPH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2963853 |
| BRIGHT, GEOFFREY CLYDE JR | CHIEF COMPLIANCE OFFICER - PRIVATE CLIENT GROUP | 4696103 |
| BROOKS, PATRICK RODGERS | ROSFP - CAPITAL MARKETS | 2223412 |
| DODSON, CHARLES EDWARD | CCO ADVISORY SERVICES | 1744430 |
| FISHER, MARK PHILIP | GENERAL COUNSEL, SECRETARY | 4970942 |
| HYDE, GINA ELIZABETH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2812751 |
| KRUSZEWSKI, RONALD JAMES | PRESIDENT, CHIEF EXECUTIVE OFFICE & CHAIRMAN OF THE BOARD | 1434827 |
| MELINGER, ADAM SCOTT | ROSFP - PCG | 2373020 |
| NOLL, DOUGLAS WAYNE | PRINCIPAL OPERATIONS OFFICER | 1614129 |
| RAYMOND, CHARLES BRADFORD GREEN | CO-HEAD GLOBAL INSTITUTIONAL EQUITIES & ADVISORY | 2796106 |
| SCHRICK, FREDERICK RICHARD | PRINCIPAL FINANCIAL OFFICER | 5636488 |
| SLINEY, DAVID DEAN | SENIOR VICE PRESIDENT & DIRECTOR | 2276514 |
| ZEMLYAK, JAMES MARK | EXECUTIVE VICE PRESIDENT & DIRECTOR | 1586132 |
Regulatory assets under management
| Total Number of Accounts | 368,405 |
| AUM (Assets Under Management) | $ 171,209,609,487 |
Disclosures
| Regulatory Event | 168 |
| Civil Event | 2 |
| Arbitration | 60 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/18/2024 | ||
| 12/19/2023 |
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.
