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James Mulcahy
JAMES E MULCAHY, JAMES EDARD MULCAHY JR, JAMES EDWARD MULCAHY JR, JAMES EDWARD MULCAHY, JAMES MULCAHY…
CRD#: 2426770
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 1600 HIGHWAY 35 AND DEAL RD
[J9-RBO]
OAKHURST, NJ 07755
Registration History
19952000200520102015202020252 FIRMS2006 - 2006 (<1 year)2 FIRMS2007 - 2009 (2 years)2 FIRMS2009 - 2019 (10 years)2 FIRMS2019 - 2021 (1 year)2 FIRMS2022 - 2023 (<1 year)2 FIRMS2024 - Present (<1 year)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1998 - 2006 (7 years)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1993 - 1998 (4 years)IAMERRILL LYNCH PIERCE FENNER & ... (CRD# 7691)2001 - 2006 (5 years)
Disclosure(s)
View By:
3/15/1997
Customer Dispute
Award / Judgment
License(s)

State Registrations

B
Colorado 9/18/2024

B
New York 9/19/2024

B
Florida 9/18/2024

B
Pennsylvania 1/13/2025

B
Illinois 10/17/2024

B
Virginia 9/18/2024

B
New Jersey 9/18/2024

B
West Virginia 9/19/2024

IA
New Jersey 9/19/2024

SRO Registrations

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq GEMX, LLC

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
1600 HIGHWAY 35 AND DEAL RD [J9-RBO], OAKHURST, NJ 07755
Registered with this firm since 9/13/2024

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
1600 HIGHWAY 35 AND DEAL RD [J9-RBO], OAKHURST, NJ 07755
Registered with this firm since 9/17/2024

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
06/28/2022 - 04/26/2023 UBS FINANCIAL SERVICES INC. (CRD#:8174) NEW YORK, NY
B
06/28/2022 - 04/26/2023 UBS FINANCIAL SERVICES INC. (CRD#:8174) NEW YORK, NY
IA
09/03/2019 - 07/15/2021 NATIONAL ASSET MANAGEMENT, INC. (CRD#:115927) PARAMUS, NJ
B
08/15/2019 - 07/15/2021 NATIONAL SECURITIES CORPORATION (CRD#:7569) PARAMUS, NJ
IA
06/01/2009 - 08/16/2019 MORGAN STANLEY (CRD#:149777) PEARL RIVER, NY
B
06/01/2009 - 08/16/2019 MORGAN STANLEY (CRD#:149777) PEARL RIVER, NY
IA
05/09/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) NEW YORK, NY
B
05/08/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) NEW YORK, NY
IA
01/20/2006 - 10/04/2006 MORGAN STANLEY (CRD#:7556) RIDGEWOOD, NJ
B
01/20/2006 - 10/04/2006 MORGAN STANLEY DW INC. (CRD#:7556) RIDGEWOOD, NJ
IA
01/23/2001 - 01/23/2006 MERRILL LYNCH PIERCE FENNER & SMITH INC. (CRD#:7691) PARAMUS, NJ
B
09/08/1998 - 01/23/2006 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) PARAMUS, NJ
B
12/17/1993 - 08/24/1998 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.