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Richard Mulligan

Cetera Investment Advisers LLC

Pearl River, NY

Pearl River, NY

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Current Employers
Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-04-12
  • NY RA
    APPROVED
    Since 2021-04-12

Branch Locations

1 Blue Hill Plaza, 7Th Floor Suite 4373, Pearl River, NY 10965 • United States

Pearl River, NY • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Foresters Financial Services, Inc. Edison NJ 11/2013 11/2018
Foresters Financial Services, Inc. Edison NJ 12/2018 06/2019
Cetera Investment Services Llc St Cloud MN 06/2019 Present
Cetera Wealth Services, Llc El Segundo CA 08/2022 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2021 Present
Cetera Advisors Llc Greenwood Village CO 08/2022 Present
Cetera Financial Specialists Llc Schaumburg IL 08/2022 Present
  • 11/2013 → 11/2018
    Foresters Financial Services, Inc.
    Edison, NJ
  • 12/2018 → 06/2019
    Foresters Financial Services, Inc.
    Edison, NJ
  • 06/2019 → Present
    Cetera Investment Services Llc
    St Cloud, MN
  • 08/2022 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 03/2021 → Present
    Cetera Investment Advisers Llc
    Schaumburg, IL
  • 08/2022 → Present
    Cetera Advisors Llc
    Greenwood Village, CO
  • 08/2022 → Present
    Cetera Financial Specialists Llc
    Schaumburg, IL
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2004-08-07
  • S63 Uniform Securities Agent State Law Examination
    2004-08-07
Other Names
  • Richard John Mulligan
  • Richard Mulligan

View on SEC IAPD

Other Firms

HIGHTOWER ADVISORS, LLC
KEY INVESTMENT SERVICES LLC
OSAIC WEALTH, INC.
J.P. MORGAN SECURITIES LLC
CSENGE ADVISORY GROUP, LLC
LPL FINANCIAL LLC
HUDSON COMPANIES
WESTMORE ASSET MANAGEMENT

Other Investors

THOMAS MICHAEL MINGONE
JENNIFER LYNN SCHNALZER
CHRISTINE J HYLA
Grady Kerr Powers
WILLIAM EDWARD GALVIN
JOSEPH EDMONDSON
JOHN FRANCIS GALVIN
THOMAS FOX

Other Offices

HIGHTOWER ADVISORS, LLC · Pearl River, NY
KEY INVESTMENT SERVICES LLC · PEARL RIVER, NY
OSAIC WEALTH, INC. · PEARL RIVER, NY
J.P. MORGAN SECURITIES LLC · PEARL RIVER, NY
CSENGE ADVISORY GROUP, LLC · PEARL RIVER, NY
LPL FINANCIAL LLC · PEARL RIVER, NY
HUDSON COMPANIES · PEARL RIVER, NY
WESTMORE ASSET MANAGEMENT · PEARL RIVER, NY

More in Pearl River, NY

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