Unclaimed Profile

Steven James Mulligan

CROWELL, WEEDON & CO.·LOS ANGELES, California

SIE, Series 7, Series 9, Series 10, Series 24, Series 55, Series 63, Series 65Clean record15 years registeredCROWELL, WEEDON & CO.

624 SO. GRAND AVE., SUITE 2510, LOS ANGELES, CA 90017CRD# 2372962Firm CRD# 193

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Steven James Mulligan · LOS ANGELES, CA

Registration

CRD #2372962 · CROWELL, WEEDON & CO. · 15 years registered

Brand Profile

Not yet started

Career History

D.A. DAVIDSON & CO.

Nov 2013 – present

CROWELL WEEDON & CO.

Nov 2013 – Nov 2013

WESTLAKE VILLAGE, CA

CROWELL, WEEDON & CO.

Apr 2011 – Nov 2013

WESTLAKE VILLAGE, CA

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 9

Series 10

Series 24

Series 55

Series 63

Series 65

Registration record

First registered · April 21, 2011

Years registered · 15

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

Firm Overview

Firm

CROWELL, WEEDON & CO.

CRD 193 · SEC 801-67246

AUM

$1.0B

Regulatory assets under management

Employees

150

2,936 client accounts

Services offered by CROWELL, WEEDON & CO.

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Charitable organization or education services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at CROWELL, WEEDON & CO. →

Introduction

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Frequently Asked Questions

What services does Steven James Mulligan offer?

Steven James Mulligan specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in LOS ANGELES, California for a consultation.

What are Steven James Mulligan's credentials?

Steven James Mulligan is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Steven James Mulligan located?

Steven James Mulligan is based in LOS ANGELES, California, working with CROWELL, WEEDON & CO.. Their office serves clients in the LOS ANGELES metropolitan area and surrounding communities.

How does Steven James Mulligan charge for services?

Steven James Mulligan's firm is compensated through percentage of aum, hourly charges, subscription fees, commissions. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is CROWELL, WEEDON & CO.?

CROWELL, WEEDON & CO. has approximately 150 employees and manages $1.0B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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