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Alexandra Julia Mulligan
Alexandra Mulligan
CRD#: 6796737
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 1501 K STREET NORTH WEST
11TH FLOOR
WASHINGTON, DC 20005
Registration History
201820192020202120222023202420252026IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2022 - Present (2 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2019 - Present (5 years)BFRANKLIN/TEMPLETON DISTRIBUTOR... (CRD# 332)2018 - 2019 (<1 year)
License(s)

State Registrations

B
Alaska 8/9/2019

B
Montana 4/19/2024

B
Arizona 9/27/2023

B
Nebraska 4/19/2024

B
California 8/9/2019

B
Nevada 11/10/2022

B
Colorado 6/12/2023

B
New Hampshire 4/19/2024

B
Connecticut 9/1/2020

B
New Jersey 8/9/2019

B
District of Columbia 8/9/2019

B
New York 8/9/2019

IA
District of Columbia 4/27/2022

B
North Carolina 2/27/2024

B
Florida 8/9/2019

B
North Dakota 4/19/2024

B
Georgia 8/9/2019

B
Ohio 4/19/2024

B
Hawaii 4/19/2024

B
Oklahoma 8/9/2019

B
Idaho 4/19/2024

B
Oregon 4/19/2024

B
Illinois 4/19/2024

B
Pennsylvania 4/19/2024

B
Indiana 4/19/2024

B
Rhode Island 6/24/2022

B
Iowa 4/19/2024

B
South Carolina 4/19/2024

B
Kansas 4/19/2024

B
South Dakota 4/19/2024

B
Kentucky 8/28/2023

B
Tennessee 4/14/2023

B
Louisiana 4/19/2024

B
Texas 5/10/2023

B
Maine 4/19/2024

B
Utah 9/27/2023

B
Maryland 8/9/2019

B
Vermont 3/2/2023

IA
Maryland 7/3/2023

B
Virginia 8/9/2019

B
Massachusetts 8/9/2019

B
Washington 8/9/2019

B
Michigan 9/25/2023

B
West Virginia 8/9/2019

B
Minnesota 8/9/2019

B
Wisconsin 4/19/2024

B
Missouri 10/12/2021

B
Wyoming 8/9/2019

SRO Registrations

B
BOX Exchange LLC

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
1501 K STREET NORTH WEST 11TH FLOOR, WASHINGTON, DC 20005
Bethesda, MD
Registered with this firm since 4/27/2022

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
1501 K STREET NORTH WEST 11TH FLOOR, WASHINGTON, DC 20005
Bethesda, MD
Registered with this firm since 8/9/2019

Previous Registration(s)
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B
09/28/2018 - 05/29/2019 FRANKLIN/TEMPLETON DISTRIBUTORS, INC. (CRD#:332) RANCHO CORDOVA, CA
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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.