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Steven James Mulligan

D.A. Davidson & Co.

Encino, CA

Castaic, CA

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Current Employers
D.A. Davidson & Co.

8 Third Street North, Great Falls, MT 59401 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2018-10-08
CA RA APPROVED 2013-11-25
  • TX RA
    APPROVED_RES
    Since 2018-10-08
  • CA RA
    APPROVED
    Since 2013-11-25

Branch Locations

16130 Ventura Blvd Suite 460, Encino, CA 91436 • United States

Castaic, CA • 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
D.A. Davidson & Co. Encino CA 11/2013 Present
Previous Registrations
  • 2013-11-04 → 2013-11-25
    Crowell Weedon & Co.
    Westlake Village, CA
    Encino, CA
  • 2011-04-21 → 2013-11-04
    Crowell, Weedon & Co.
    Los Angeles, CA
    Los Angeles, CA
    Westlake Village, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-09-02
S63 Uniform Securities Agent State Law Examination 1993-08-24
  • S65 Uniform Investment Adviser Law Examination
    1993-09-02
  • S63 Uniform Securities Agent State Law Examination
    1993-08-24
Other Names
  • Steven James Mulligan

View on SEC IAPD

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Other Offices

GOODSTEIN WEALTH MANAGEMENT LLC · ENCINO, CA
PORTFOLIO DESIGN LABS, LLC · ENCINO, CA
WILLNER & HELLER LLC · ENCINO, CA
WEALTH MANAGEMENT PARTNERS OF LOS ANGELES · ENCINO, CA
FINANCIAL PLANNING FOR GENERATIONS, INC. · ENCINO, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · ENCINO, CA
WELLS FARGO CLEARING SERVICES, LLC · ENCINO, CA
WELLS FARGO CLEARING SERVICES, LLC · ENCINO, CA

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