KM
Kevin G. Mullins
VALIC FINANCIAL ADVISORS
BERKELEY HEIGHTS, NJ 07922
Some features on this profile are disabled
CRD#: 2045533
KM
Professional summary
Kevin Gerard Mullins is a registered financial advisor currently at VALIC FINANCIAL ADVISORS, INC. located in Berkeley Heights, New Jersey.
Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Kevin has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 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.
AGIA POSITION: Agent NATURE: null INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 1 START DATE: 12/17/2022 ADDRESS: 2929 Allen Parkway, Houston TX 77019, United States DESCRIPTION: Non-Securities Insurance Products
CRS (Client Relationship Summary) - RIA
Click below to view Kevin Gerard Mullins's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kevin Gerard Mullins'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
October 21, 2009 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 300 Connell Drive Ste 3300, Berkeley Heights, NJ 07922RIA
BD
CRD#: 42803
BERKELEY HEIGHTS, NJ
Current
October 15, 2009 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 300 Connell Drive Ste 3300, Berkeley Heights, NJ 07922RIA
BD
CRD#: 42803
BERKELEY HEIGHTS, NJ
Past
June 30, 2008 - October 9, 2009
CADARET, GRANT & CO., INC.
RIA
CRD#: 10641
HASBROUCK HEIGHTS, NJ
Past
June 30, 2008 - October 9, 2009
CADARET, GRANT & CO., INC.
BD
CRD#: 10641
HASBROUCK HEIGHTS, NJ
Past
December 7, 2006 - July 1, 2008
AMERICAN GENERAL SECURITIES INCORPORATED
RIA
CRD#: 13626
WAYNE, NJ
Past
November 22, 2006 - July 1, 2008
AMERICAN GENERAL SECURITIES INCORPORATED
BD
CRD#: 13626
WAYNE, NJ
Past
February 3, 2006 - November 7, 2006
ESSEX NATIONAL SECURITIES, LLC
RIA
CRD#: 25454
MONTVILLE, NJ
Past
February 3, 2006 - November 7, 2006
ESSEX NATIONAL SECURITIES, LLC
BD
CRD#: 25454
MONTVILLE, NJ
Past
December 6, 2005 - January 30, 2006
BNY INVESTMENT CENTER INC.
RIA
CRD#: 47683
NEW YORK, NY
Past
June 14, 2005 - January 30, 2006
BNY INVESTMENT CENTER INC.
BD
CRD#: 47683
NEW YORK, NY
Past
October 20, 2004 - May 25, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
RUTHERFORD, NJ
Past
October 20, 2004 - May 25, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BOSTON, MA
Past
October 11, 2002 - October 20, 2004
QUICK & REILLY, INC.
RIA
CRD#: 11217
RUTHERFORD, NJ
Past
April 25, 2001 - October 20, 2004
QUICK & REILLY, INC.
BD
CRD#: 11217
NEW YORK, NY
Past
January 8, 1999 - April 25, 2001
SUMMIT FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 7246
BETHLEHEM, PA
Past
February 20, 1996 - December 17, 1998
PNC BROKERAGE CORP
BD
CRD#: 34671
PITTSBURGH, PA
Past
March 7, 1995 - September 27, 1996
ESSEX NATIONAL SECURITIES, LLC
BD
CRD#: 25454
NAPA, CA
Past
July 18, 1994 - March 10, 1995
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
OAKDALE, MN
Past
April 4, 1990 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
NEWARK, NJ
Past
April 4, 1990 - February 7, 1994
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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".
VF
VALIC FINANCIAL ADVISORS, INC.
AIG RETIREMENT ADVISORS, INC. | VALIC INVESTMENT SERVICES COMPANY | VALIC FINANCIAL ADVISORS, INC. | COREBRIDGE FINANCIAL | AMERICAN GENERAL FINANCIAL ADVISORS, INC. | AIG RETIREMENT SERVICES
CRD#: 42803 / SEC#: 801-54952, 8-50018
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(10/18/2018)
IAR
California(10/18/2018)
RR
Colorado(4/10/2025)
IAR
Colorado(4/10/2025)
RR
Delaware(12/9/2019)
IAR
Delaware(12/9/2019)
RR
Florida(5/7/2014)
IAR
Florida(5/7/2014)
RR
New Jersey(10/15/2009)
IAR
New Jersey(10/21/2009)
RR
New York(10/15/2009)
IAR
New York(8/16/2021)
IAR
North Carolina(9/19/2016)
RR
North Carolina(9/20/2016)
RR
Pennsylvania(10/16/2009)
IAR
Pennsylvania(5/2/2014)
RR
Virginia(4/20/2017)
IAR
Virginia(4/20/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
VF
VALIC FINANCIAL ADVISORS, INC.
AIG RETIREMENT ADVISORS, INC. | VALIC INVESTMENT SERVICES COMPANY | VALIC FINANCIAL ADVISORS, INC. | COREBRIDGE FINANCIAL | AMERICAN GENERAL FINANCIAL ADVISORS, INC. | AIG RETIREMENT SERVICES
CRD#: 42803 / SEC#: 801-54952, 8-50018
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information
Main Address
2919 Allen Parkway L3-20, Houston, TX 77019
Mailing Address
2919 Allen Parkway L3-20, Houston, TX 77019-2158
Phone number
(866) 544-4968
Established
Texas since 11/18/1996
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
1,633
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE VARIABLE ANNUITY LIFE INSURANCE COMPANY | DIRECT OWNER | |
| BURNETTE, CYNTHIA LEA | CHIEF FINANCIAL OFFICER AND TREASURER | 1863103 |
| FORTEY, MICHAEL | VFA CHIEF COMPLIANCE OFFICER BROKER DEALER | 2304969 |
| GIBSON, KRISTA DE LOIS | PRESIDENT; SVP, HEAD OF PRODUCT & ADVISORY SERVICES | 2348708 |
| JOE, CHRISTOPHER CHUCK | VFA CHIEF COMPLIANCE OFFICER INVESTMENT ADVISOR | 2373056 |
| LOGAN, JOHN ALBERT | CHIEF OPERATIONS OFFICER | 4378887 |
| MARCIEL-CARR, THERESA H | VICE PRESIDENT, FIELD SUPERVISION | 5428259 |
| NORRIS, JOHN ERIK | SECRETARY | 8188573 |
| RINK, VERONICA LYNETTE | VICE PRESIDENT, BUSINESS ADMINISTRATION | 4724432 |
Regulatory assets under management
| Total Number of Accounts | 293,993 |
| AUM (Assets Under Management) | $ 26,372,603,709 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2025 | ||
| 01/27/2025 | ||
| 04/29/2024 | ||
| 04/28/2023 |
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.
