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Details

ROBERT JOHN JR MULLIGAN NFA ID: 0197215

Current Status
WELLS FARGO BANK NA 
• PRINCIPAL APPROVED 
WELLS FARGO SECURITIES LLC 
• PRINCIPAL APPROVED 
• ASSOCIATED PERSON REGISTERED 
• NFA ASSOCIATE MEMBER APPROVED 
Regulatory Actions
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NFA Arbitration Decisions
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CFTC Reparations Cases
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History
 Status Effective Date
ABN AMRO INCORPORATED 
• ASSOCIATED PERSON WITHDRAWN 03/28/2002 
• NFA ASSOCIATE MEMBER WITHDRAWN 03/28/2002 
• ASSOCIATED PERSON REGISTERED 07/13/1998 
• NFA ASSOCIATE MEMBER APPROVED 07/06/1998 
• ASSOCIATED PERSON TEMPORARY LICENSE 07/06/1998 
• ASSOCIATED PERSON PENDING 04/03/1998 
• NFA ASSOCIATE MEMBER PENDING 04/03/1998 
BANC OF AMERICA SECURITIES LLC 
• ASSOCIATED PERSON WITHDRAWN 03/14/2008 
• NFA ASSOCIATE MEMBER WITHDRAWN 03/14/2008 
• ASSOCIATED PERSON REGISTERED 07/20/2007 
• NFA ASSOCIATE MEMBER APPROVED 07/19/2007 
• ASSOCIATED PERSON TEMPORARY LICENSE 07/19/2007 
• ASSOCIATED PERSON WITHDRAWN 07/01/2006 
• NFA ASSOCIATE MEMBER WITHDRAWN 07/01/2006 
• ASSOCIATED PERSON REGISTERED 12/14/2004 
• NFA ASSOCIATE MEMBER APPROVED 12/14/2004 
• NFA ASSOCIATE MEMBER PENDING 12/06/2004 
• ASSOCIATED PERSON PENDING 12/06/2004 
• NFA ASSOCIATE MEMBER PENDING STATUS WITHDRAWN 08/19/2004 
• ASSOCIATED PERSON PENDING STATUS WITHDRAWN 08/19/2004 
• NFA ASSOCIATE MEMBER PENDING 06/14/2004 
• NFA ASSOCIATE MEMBER WITHDRAWN 06/14/2004 
• ASSOCIATED PERSON PENDING 06/14/2004 
• ASSOCIATED PERSON TEMPORARY LICENSE WITHDRAWN 06/14/2004 
• NFA ASSOCIATE MEMBER APPROVED 05/21/2004 
• ASSOCIATED PERSON TEMPORARY LICENSE 05/21/2004 
CANTOR FITZGERALD & CO 
• NFA ASSOCIATE MEMBER WITHDRAWN 04/21/2004 
• ASSOCIATED PERSON WITHDRAWN 04/21/2004 
• ASSOCIATED PERSON REGISTERED 01/03/2003 
• NFA ASSOCIATE MEMBER APPROVED 12/12/2002 
• ASSOCIATED PERSON TEMPORARY LICENSE 12/12/2002 
CREDIT SUISSE SECURITIES USA LLC 
• ASSOCIATED PERSON WITHDRAWN 03/12/1993 
• NFA ASSOCIATE MEMBER WITHDRAWN 03/12/1993 
• ASSOCIATED PERSON REGISTERED 09/09/1991 
• NFA ASSOCIATE MEMBER APPROVED 07/16/1991 
• ASSOCIATED PERSON TEMPORARY LICENSE 07/16/1991 
JP MORGAN FUTURES INC 
• ASSOCIATED PERSON WITHDRAWN 09/24/1994 
• NFA ASSOCIATE MEMBER WITHDRAWN 09/24/1994 
• ASSOCIATED PERSON REGISTERED 04/30/1993 
• NFA ASSOCIATE MEMBER APPROVED 04/13/1993 
• ASSOCIATED PERSON TEMPORARY LICENSE 04/13/1993 
• ASSOCIATED PERSON PENDING 04/12/1993 
• NFA ASSOCIATE MEMBER PENDING 04/12/1993 
LEHMAN BROTHERS INC 
• ASSOCIATED PERSON WITHDRAWN 05/29/1991 
• NFA ASSOCIATE MEMBER WITHDRAWN 05/29/1991 
• ASSOCIATED PERSON REGISTERED 02/10/1987 
• NFA ASSOCIATE MEMBER APPROVED 01/06/1987 
• ASSOCIATED PERSON TEMPORARY LICENSE 01/06/1987 
• ASSOCIATED PERSON PENDING 01/02/1987 
• NFA ASSOCIATE MEMBER PENDING 01/02/1987 
WELLS FARGO BANK NA 
• PRINCIPAL APPROVED 12/20/2012 
WELLS FARGO SECURITIES LLC 
• PRINCIPAL APPROVED 09/27/2012 
• ASSOCIATED PERSON REGISTERED 05/22/2008 
• ASSOCIATED PERSON TEMPORARY LICENSE 05/14/2008 
• NFA ASSOCIATE MEMBER APPROVED 05/14/2008 
YAMAICHI INTERNATIONAL AMERICA INC 
• ASSOCIATED PERSON WITHDRAWN 03/02/1998 
• NFA ASSOCIATE MEMBER WITHDRAWN 03/02/1998 
• PRINCIPAL WITHDRAWN 03/02/1998 
• PRINCIPAL APPROVED 06/02/1997 
• ASSOCIATED PERSON REGISTERED 04/12/1995 
• NFA ASSOCIATE MEMBER APPROVED 04/03/1995 
• ASSOCIATED PERSON TEMPORARY LICENSE 04/03/1995 
 
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