John Christopher Mulcahy

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2008-12-11
TX	RA	APPROVED	2008-12-10

CA RA
APPROVED

Since 2008-12-11
TX RA
APPROVED

Since 2008-12-10

Branch Locations

100 Wilshire Blvd, Santa Monica, CA 90401 • 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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691	Beverly Hills	CA	12/2008	Present
Bank Of America,Na	Santa Monica	CA	09/2009	Present

12/2008 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691

Beverly Hills, CA
09/2009 → Present

Bank Of America,Na

Santa Monica, CA

Previous Registrations

2003-07-01 → 2008-12-11

Wells Fargo Clearing Services, Llc

Los Angeles, CA

Los Angeles, CA
1989-06-07 → 2003-07-01

Prudential Equity Group, Llc

Los Angeles, CA

Other Businesses

I*5360 Name of outside business organization: Mulcahy Trust Address of business: Princeville, California, 96722 Nature of business: N Start date of relationship: 10/9/2017 Number of hours devoted: 0 hour(s) Number of hours devoted during trading hours: 0

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1992-12-03
S63	Uniform Securities Agent State Law Examination	1982-08-09

S65 Uniform Investment Adviser Law Examination

1992-12-03
S63 Uniform Securities Agent State Law Examination

1982-08-09

Other Names

John C Mulcahy

View on SEC IAPD