JM
John M. Mullis
AMJ FINANCIAL WEALTH MANAGEMENT LLC
Leesburg, VA 20176
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CRD#: 1398259
JM
Professional summary
John Malcolm Mullis is a registered financial advisor currently at AMJ FINANCIAL WEALTH MANAGEMENT LLC located in Leesburg, Virginia.
John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. John has worked at 8 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
1. SELF EMPLOYED WORKING UNDER DBA "AMJ FINANCIAL LLC." SELLS FIXED ANNUITIES, APPROX 4 HOURS PER WEEK, EARNING ABOUT $50K/YR OFF COMMISSIONS - APPROVED 8/31/07.
2. 09/26/2007 - TOOK AN EARLY RETIREMENT FROM CROWN LIFE AND BECAME THE MANAGING GA FOR THE BOOK OF BUSINESS. SELL FIXED ANNUITIES ONLY. MORTGAGE BROKERAGE SERVICES
3. 03/12/2009 / NON-VARIABLE INSURANCE / AGENT FOR NORTH AMERICAN COMPANY FOR LIFE & HEALTH INSURANCE / NORTH AMERICAN / HERNDEN, VA / 1% OF TIME.
CRS (Client Relationship Summary) - RIA
Click below to view John Malcolm Mullis's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
September 27, 2018 - Present
AMJ FINANCIAL WEALTH MANAGEMENT LLC
Office #1: 44160 Scholar Plaza Suite 490, Leesburg, VA 20176RIA
CRD#: 162878
Leesburg, VA
Past
June 1, 2012 - September 14, 2018
AMJ FINANCIAL WEALTH MANAGEMENT LLC
RIA
CRD#: 162878
LEESBURG, VA
Past
August 31, 2007 - May 3, 2012
LPL FINANCIAL LLC
RIA
CRD#: 6413
ASHBURN, VA
Past
August 31, 2007 - May 3, 2012
LPL FINANCIAL LLC
BD
CRD#: 6413
ASHBURN, VA
Past
November 29, 2006 - August 31, 2007
KALOS MANAGEMENT
RIA
CRD#: 133025
PONTE VEDRA BEACH, FL
Past
September 22, 2006 - August 31, 2007
KALOS CAPITAL, INC.
BD
CRD#: 44337
HERNDON, VA
Past
August 24, 2000 - December 31, 2000
CENTENNIAL CAPITAL MANAGEMENT, INC.
BD
CRD#: 38988
ATLANTA, GA
Past
May 29, 1998 - June 15, 2000
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
Past
January 1, 1995 - December 31, 1996
SEI INVESTMENTS DISTRIBUTION CO.
BD
CRD#: 10690
OAKS, PA
Past
August 25, 1992 - November 29, 1993
C.A.L. INVESTMENT SERVICES INC.
BD
CRD#: 15642
SASKATCHEWAN S4P 3B1,
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AF
AMJ FINANCIAL WEALTH MANAGEMENT LLC
AMJ FINANCIAL WEALTH MANAGEMENT LLC
CRD#: 162878 / SEC#: 801-113970
RIA
Registered Investment Advisory firm - (9/12/2018 Approved)California
Registered Investment Advisory firm - (10/14/2018 Terminated)Florida
Registered Investment Advisory firm - (9/14/2018 Terminated)Louisiana
Registered Investment Advisory firm - (12/14/2017 Terminated)Maryland
Registered Investment Advisory firm - (10/12/2018 Terminated)North Carolina
Registered Investment Advisory firm - (9/14/2018 Terminated)Pennsylvania
Registered Investment Advisory firm - (9/17/2018 Terminated)Texas
Registered Investment Advisory firm - (9/14/2018 Terminated)Virginia
Registered Investment Advisory firm - (9/14/2018 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Virginia(9/27/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
AF
AMJ FINANCIAL WEALTH MANAGEMENT LLC
AMJ FINANCIAL WEALTH MANAGEMENT LLC
CRD#: 162878 / SEC#: 801-113970
RIA
Registered Investment Advisory firm - (9/12/2018 Approved)California
Registered Investment Advisory firm - (10/14/2018 Terminated)Florida
Registered Investment Advisory firm - (9/14/2018 Terminated)Louisiana
Registered Investment Advisory firm - (12/14/2017 Terminated)Maryland
Registered Investment Advisory firm - (10/12/2018 Terminated)North Carolina
Registered Investment Advisory firm - (9/14/2018 Terminated)Pennsylvania
Registered Investment Advisory firm - (9/17/2018 Terminated)Texas
Registered Investment Advisory firm - (9/14/2018 Terminated)Virginia
Registered Investment Advisory firm - (9/14/2018 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
44160 Scholar Plaza Suite 490, Leesburg, VA 20176
Mailing Address
Phone number
(703) 466-0477
Established
Firm type
Fiscal year end
# of Employees
18
SEC notice filing (9 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,744 |
| AUM (Assets Under Management) | $ 427,426,118 |
Red Flags
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