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TODD JOHN MULLIGAN
TODD MULLIGAN
CRD#: 5178269
IA
B
MORGAN STANLEYCRD#: 149777 112 Worcester Street
Wellesley, MA 02481
Wellesley, MA 02481
View By:
6/25/2021
Customer Dispute
Award / Judgment
State Registrations
B
Arizona 6/1/2017
B
New Mexico 3/5/2018
B
California 4/10/2017
B
New York 7/24/2015
B
Colorado 7/16/2018
B
North Carolina 7/17/2018
B
Connecticut 7/24/2015
B
Ohio 7/17/2018
IA
Connecticut 7/20/2021
B
Oregon 11/13/2020
B
Delaware 7/16/2018
B
Pennsylvania 7/16/2018
B
District of Columbia 7/16/2018
B
Rhode Island 7/24/2015
B
Florida 7/24/2015
IA
Rhode Island 7/24/2015
B
Georgia 7/16/2018
B
South Carolina 7/24/2015
B
Hawaii 11/27/2023
B
South Dakota 2/19/2025
B
Illinois 7/16/2018
B
Texas 7/16/2018
B
Maine 7/24/2015
IA
Texas 4/1/2020
B
Maryland 4/18/2018
B
Vermont 11/23/2020
B
Massachusetts 7/24/2015
B
Virgin Islands 6/3/2024
B
Michigan 12/4/2020
B
Virginia 7/16/2018
B
Montana 8/14/2023
B
Washington 4/10/2017
B
Nevada 8/6/2024
B
Wisconsin 7/16/2018
B
New Hampshire 7/24/2015
B
Wyoming 8/30/2021
B
New Jersey 7/24/2015
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 7/24/2015
B
Registered with this firm since 7/24/2015
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/12/2010 - 07/31/2015 | FRAMINGHAM, MA | |
B | 03/19/2010 - 07/31/2015 | FRAMINGHAM, MA | |
B | 10/09/2008 - 02/19/2010 | BOSTON, MA | |
IA | 01/18/2008 - 09/12/2008 | LATHAM, NY | |
B | 09/04/2006 - 09/12/2008 | LATHAM, NY |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.