Bob Mulligan
Chief Compliance Officer, Capital One Securities, Inc.
KippsDeSanto & Co / TripleTree, LLC
Bob Mulligan is currently the Chief Compliance Officer for Capital One’s broker dealer activities. Prior to joining Capital One, Bob served as Executive Vice President and Global Head of Compliance for Wells Fargo’s Corporate and Investment Bank. Bob has over 35 years of compliance and legal experience, including in senior roles at Bank of America, Cantor Fitzgerald and ABN Amro, amongst others.
Bob earned his J.D. at New York Law School and a B.S. from the E. Claiborne Robins School of Business at the University of Richmond. He has Series 7, 14, 24, 79 and 99 FINRA licenses. He is based in New York City.