Michael Edward Mullett Iii
CFP®Professional Summary
Michael Edward Mullett III, CFP®, who also goes by Michael E. Mullett III, Michael Mullett, Mike Mullett, is a registered financial advisor currently at MULLETT FINANCIAL LLC located in Austin, Texas. Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Michael has worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 9, Series 10, Series 24, Series 8 and Series 4 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Michael E. Mullett Iii, Michael Mullett, Mike Mullett
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Videos & Posts
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Contact Information
xxxxx@xxxx.xxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Credentials
Years of Experience
41 years in the financial services industry
Current & Past Employments
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Current Firm
MULLETT FINANCIAL LLC
Contact Information
Main Address
Austin, TXPhone Number
(737) 420-1964# of Employees
1Documents
Regulatory Assets Under Management
Total Number of Accounts
36AUM (Assets Under Management)
$27,011,817Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(1/26/2024)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2023About the Series 9 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2023About the Series 10 examSeries 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed May 1987Similar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Michael Edward Mullett III's CRS (Customer Relationship Summary).
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