Saturday, October 24, 2026The Morning EditionOpen AtlasSign inJoin free
FinancialADVSR

Est. 2026The front page of wealth managementNew York

The Morning EditionFree · 6:30 AM ETSubscribe
RB Schwab trumpeted Anthropic's Claude for all 16,000 of its RIAs, but a 20-seat enterprise minimum suddenly sidelines 11,000-plus small firms -- right before IMPACT 2026FP Do smaller RIAs really need to own their data?RB Bank of America analyst 'double' slams Ameriprise not least because RIA 'structural' advantage triggered proactive in-house retention bonuses that take a bite out of margins and may not retain big teams long-termIN Trump to ease 50% Canada tariffs on farm equipment, packaging goodsWM The New Rules of Record Keeper SelectionWM SEC Examiners' 2027 Focus Includes Firms' Protections Against AI Phishing, DeepfakesIN People moves: RBC taps Raymond James veteran for Texas complexWM Lido CEO Signals Openness to International Expansion4K SEC Targets Private Markets, AI and Fiduciary Risks Among 2027 Exam PrioritiesIN RIA M&A runs up to 5x reported totals, Steward Partners CEO says

Adviser and broker representative · Merrill Lynch, Pierce, Fenner & Smith Incorporated

Courtland E. Mulliken

CRD 4769826 · Roseville, CA

At a glance

Courtland E. Mulliken is an investment adviser representative with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Roseville, CA, according to the SEC’s Investment Adviser Public Disclosure records. The earliest registration on Courtland’s SEC record dates to 2004, about 22 years ago. Courtland is also registered as a broker representative.

Current advisory firm

SEC adviser record

Registered since
2004 (22 years)
Designations
None on file
Exams
Series 66
Registered in
2 states
Also a broker representative
Yes
Disclosures on record
None

AtlasMembers

Courtland’s office, career and moves

Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.

Branch office address, business phone and website
Locked
Previous firms, with start and end dates
Locked
Employment history
Locked
States they’re registered in
Locked
Outside business activities
Locked
When they joined their current firm, and their firm’s growth
Locked
Open Atlas free

Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Something wrong? Ask for a correction. Source: the SEC’s Investment Adviser Public Disclosure records, as of October 2026. The full record, including any disclosure details, is on the SEC’s adviser search and FINRA BrokerCheck.

More at Merrill Lynch, Pierce, Fenner & Smith Incorporated

Every advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated →Merrill Lynch, Pierce, Fenner & Smith Incorporated: assets, clients and custodians →Merrill news, moves and payouts →Financial advisors in Roseville, CA →Every Merrill Lynch, Pierce, Fenner & Smith Incorporated advisor in Roseville →Advisor Moves: who changed firms this week →