ANUBHAV MULLICK is currently employed as a Broker and/or Investment Adviser at CETERA ADVISORS LLC located at 22 LAWRENCE AVE STE 307, SMITHTOWN, NY, 11787.

ANUBHAV MULLICK has worked at CETERA ADVISORS LLC since October 03, 2016

Disclosure History

ANUBHAV MULLICK has 2 Disclosure Event(s).

Date: December 06, 2017
Category: Customer Dispute
Allegations: Unsuitable investment.
Damage Amount Requested: $90,000.00
Broker Comment: I categorically deny all allegations. The client was recommended in June to sell position to which he declined to do so. Client alleges he was using money to purchase property after the fact. As per client account form, time horizon is 8 years.

Date: April 05, 2011
Category: Criminal
Disposition: Reduced
Amended Charge Type: MISDEMEANOR Amended Charge
Amended Charge Disposition: Pled guilty

More Information

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A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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