Rita E. Mullins
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.
Rita Elaine Mullins, who also goes by Rita Elaine Fox, Rita Elaine Omeara, was a registered financial professional .
Rita is a previously registered financial professional and started their career in finance in 1984. Rita had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 27, Series 28, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 29, 2018 - May 1, 2019
LPL FINANCIAL LLC
November 29, 2018 - May 1, 2019
LPL FINANCIAL LLC
September 12, 2016 - November 8, 2017
FINANCIAL RESOURCES GROUP INVESTMENT SERVICES, LLC
July 6, 2011 - May 4, 2017
LPL FINANCIAL LLC
July 6, 2011 - May 4, 2017
LPL FINANCIAL LLC
December 11, 2000 - November 15, 2011
IBC INVESTMENTS
November 1, 2000 - November 8, 2011
IBC INVESTMENTS
July 19, 1999 - October 18, 2000
ARVEST WEALTH MANAGEMENT
August 21, 1997 - July 20, 1999
BOK FINANCIAL SECURITIES, INC.
July 1, 1996 - August 21, 1997
NATIONWIDE INVESTMENT SERVICES CORPORATION
April 17, 1990 - October 18, 1994
FINANCIAL HORIZONS DISCOUNT BROKERAGE, INC.
January 18, 1989 - July 1, 1996
FINANCIAL HORIZONS SECURITIES CORPORATION
April 2, 1986 - January 23, 1989
AMERIPRISE ADVISOR SERVICES, INC.
November 21, 1984 - January 14, 1985
WALL STREET ACCESS
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 28
Date: 5/24/2006
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
