Robert Mulholland
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.
Robert Mulholland, who also goes by Robert Emerson Mulholland, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1979. Robert had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 32, Series 3, Series 7, Series 23 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 9, 2013 - January 13, 2016
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO
December 9, 2009 - January 8, 2016
UBS FINANCIAL SERVICES INC.
November 24, 2009 - January 8, 2016
UBS FINANCIAL SERVICES INC.
June 27, 2005 - November 6, 2009
SOUND SECURITIES, LLC
May 8, 2003 - January 27, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 23, 1979 - January 27, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 8
Date: 7/26/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO
CRD#: 13042 / SEC#: , 8-28475
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
| Arbitration | 43 |
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.
