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JM

James P. Mullinix

Some features on this profile are disabled
CRD#: 1141214
JM

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

James Philip Mullinix, who also goes by Jim Mullinix, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1983. James had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jim Mullinix

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. CUSTOMARY COMPENSATION IN ADDITION TO ANY INVESTMENT ADVISORY FEES CHARGED BY TRIUNE.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

September 6, 2011 - December 31, 2018

PURSHE KAPLAN STERLING INVESTMENTS

BD
CRD#: 35747
OVERLAND PARK, KS
Past

January 8, 2010 - May 25, 2022

TRIUNE FINANCIAL PARTNERS, LLC

RIA
CRD#: 152277
OVERLAND PARK, KS
Past

March 28, 2005 - November 15, 2011

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA
CRD#: 134139
OVERLAND PARK, KS
Past

March 1, 2005 - March 28, 2005

CAMBRIDGE INVESTMENT RESEARCH, INC.

RIA
CRD#: 39543
OVERLAND PARK, KS
Past

March 1, 2005 - September 27, 2011

CAMBRIDGE INVESTMENT RESEARCH, INC.

BD
CRD#: 39543
OVERLAND PARK, KS
Past

July 17, 1997 - March 8, 2005

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
SPRINGFIELD, MA
Past

January 10, 1995 - July 16, 1997

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
DES MOINES, IA
Past

April 1, 1985 - December 31, 1994

NEW ENGLAND SECURITIES

BD
CRD#: 615
NEW YORK, NY
Past

September 23, 1983 - April 8, 1985

NYLIFE SECURITIES LLC

BD
CRD#: 5167

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 7/17/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/21/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/9/1997
General Securities Representative Examination
General Industry/Product Exam
RR
Series 22
Date: 12/10/1984
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/22/1983
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/11/1997
General Securities Principal Examination

Current Firm

PK
PURSHE KAPLAN STERLING INVESTMENTS
PURSHE KAPLAN STERLING INVESTMENTS | SARATOGA 21ST, LTD. | PURSHE KAPLAN STERLING INVESTMENTS, INC.

CRD#: 35747 / SEC#: , 8-46844

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
80 State Street, Albany, NY 12207
Mailing Address
80 State Street, Albany, NY 12207
Phone number
(518) 436-3536
Established
New York since 12/16/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PKS HOLDINGS, LLCHOLDING CO.
BOHLEY, TRACEY LEACHIEF FINANCIAL OFFICER4826937
FLOUTON, KATHERINE MARIEPRESIDENT4405001
KVAM, PETER DAVIDCHIEF COMPLIANCE OFFICER4301918
MOTTA, CHRISTOPHER JOHNCOO2741133
PURCELL, JOHN PETERC.E.O.1664678

Disclosures

Regulatory Event11
Arbitration2

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

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