Individual Firm
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KEVIN GERARD MULLINS
CRD#: 2045533
IA
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VALIC FINANCIAL ADVISORS, INC.CRD#: 42803 307 FELLOWSHIP ROAD
SUITE 205
MOUNT LAUREL, NJ 08054
SUITE 205
MOUNT LAUREL, NJ 08054
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3/18/2003
Customer Dispute
Settled
3/20/2001
Customer Dispute
Settled
State Registrations
B
California 10/18/2018
B
New York 10/15/2009
IA
California 10/18/2018
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New York 8/16/2021
B
Delaware 12/9/2019
IA
North Carolina 9/19/2016
IA
Delaware 12/9/2019
B
North Carolina 9/20/2016
B
Florida 5/7/2014
B
Pennsylvania 10/16/2009
IA
Florida 5/7/2014
IA
Pennsylvania 5/2/2014
B
New Jersey 10/15/2009
B
Virginia 4/20/2017
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New Jersey 10/21/2009
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Virginia 4/20/2017
SRO Registrations
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View Exams Passed by the individual in the detailed report
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Learn about permitted activities of registered principals
IA
Registered with this firm since 10/21/2009
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Registered with this firm since 10/15/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/30/2008 - 10/09/2009 | HASBROUCK HEIGHTS, NJ | |
B | 06/30/2008 - 10/09/2009 | HASBROUCK HEIGHTS, NJ | |
IA | 12/07/2006 - 07/01/2008 | WAYNE, NJ | |
B | 11/22/2006 - 07/01/2008 | WAYNE, NJ | |
IA | 02/03/2006 - 11/07/2006 | MONTVILLE, NJ | |
B | 02/03/2006 - 11/07/2006 | MONTVILLE, NJ | |
IA | 12/06/2005 - 01/30/2006 | NEW YORK, NY | |
B | 06/14/2005 - 01/30/2006 | NEW YORK, NY | |
IA | 10/20/2004 - 05/25/2005 | RUTHERFORD, NJ | |
B | 10/20/2004 - 05/25/2005 | BOSTON, MA | |
IA | 10/11/2002 - 10/20/2004 | RUTHERFORD, NJ | |
B | 04/25/2001 - 10/20/2004 | NEW YORK, NY | |
B | 01/08/1999 - 04/25/2001 | BETHLEHEM, PA | |
B | 02/20/1996 - 12/17/1998 | PITTSBURGH, PA | |
B | 03/07/1995 - 09/27/1996 | NAPA, CA | |
B | 07/18/1994 - 03/10/1995 | OAKDALE, MN | |
B | 04/04/1990 - 02/07/1994 | NEWARK, NJ | |
B | 04/04/1990 - 12/10/1993 | NEWARK, NJ |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.