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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  Agency Number NFA 0 CFTC 0 Exchanges 0 details...   NFA Arbitration Decisions  Role Number Claimant 0 Respondent 0 details...   CFTC Reparations Cases Total 0 details... Formerly Known As No other names   Security Futures Proficiency Training No proficiency information available Doing Business As No other names History  Status Effective Date ABN AMRO INCORPORATED  • ASSOCIATED PERSON WITHDRAWN 03/28/2002  • NFA ASSOCIATE MEMBER WITHDRAWN 03/28/2002  • ASSOCIATED PERSON REGISTERED 07/13/1998  • NFA ASSOCIATE MEMBER APPROVED 07/06/1998  • ASSOCIATED PERSON TEMPORARY LICENSE 07/06/1998  •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PENDING 04/03/1998  • NFA ASSOCIATE MEMBER PENDING 04/03/1998  BANC OF AMERICA SECURITIES LLC  • ASSOCIATED PERSON WITHDRAWN 03/14/2008  • NFA ASSOCIATE MEMBER WITHDRAWN 03/14/2008  • ASSOCIATED PERSON REGISTERED 07/20/2007  • NFA ASSOCIATE MEMBER APPROVED 07/19/2007  • ASSOCIATED PERSON TEMPORARY LICENSE 07/19/2007  • ASSOCIATED PERSON WITHDRAWN 07/01/2006  • NFA ASSOCIATE MEMBER WITHDRAWN 07/01/2006  • ASSOCIATED PERSON REGISTERED 12/14/2004  • NFA ASSOCIATE MEMBER APPROVED 12/14/2004  • NFA ASSOCIATE MEMBER PENDING 12/06/2004  • ASSOCIATED PERSON PENDING 12/06/2004  • NFA ASSOCIATE MEMBER PENDING STATUS WITHDRAWN 08/19/2004  • ASSOCIATED PERSON PENDING STATUS WITHDRAWN 08/19/2004  • NFA ASSOCIATE MEMBER PENDING 06/14/2004  • NFA ASSOCIATE MEMBER WITHDRAWN 06/14/2004  • ASSOCIATED PERSON PENDING 06/14/2004  • ASSOCIATED PERSON TEMPORARY LICENSE WITHDRAWN 06/14/2004  • NFA ASSOCIATE MEMBER APPROVED 05/21/2004  • ASSOCIATED PERSON TEMPORARY LICENSE 05/21/2004  CANTOR FITZGERALD & CO  • NFA ASSOCIATE MEMBER WITHDRAWN 04/21/2004  • ASSOCIATED PERSON WITHDRAWN 04/21/2004  • ASSOCIATED PERSON REGISTERED 01/03/2003  • NFA ASSOCIATE MEMBER APPROVED 12/12/2002  • ASSOCIATED PERSON TEMPORARY LICENSE 12/12/2002  CREDIT SUISSE SECURITIES USA LLC  • ASSOCIATED PERSON WITHDRAWN 03/12/1993  • NFA ASSOCIATE MEMBER WITHDRAWN 03/12/1993  • ASSOCIATED PERSON REGISTERED 09/09/1991  • NFA ASSOCIATE MEMBER APPROVED 07/16/1991  • ASSOCIATED PERSON TEMPORARY LICENSE 07/16/1991  JP MORGAN FUTURES INC  • ASSOCIATED PERSON WITHDRAWN 09/24/1994  • NFA ASSOCIATE MEMBER WITHDRAWN 09/24/1994  • ASSOCIATED PERSON REGISTERED 04/30/1993  • NFA ASSOCIATE MEMBER APPROVED 04/13/1993  • ASSOCIATED PERSON TEMPORARY LICENSE 04/13/1993  •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