Heidi F. Mulling

STONEWALL ASSET MGMT.

Roswell, GA 30076

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CRD#: 2663993

Professional summary

Heidi Fricks Mulling, CFP®, who also goes by Heidi F Mulling, is a registered financial advisor currently at STONEWALL ASSET MGMT., INC. located in Roswell, Georgia and RAYMOND JAMES FINANCIAL SERVICES, INC. located in Atlanta, Georgia.

Heidi is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Heidi has worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

What are your service offerings?

Comprehensive Financial Planni...

Retirement Planning

Employee and Employer Plan Ben...

Insurance Planning

Estate Planning

Investment Planning

Are you a "fiduciary"?

Yes

Aliases

Heidi F Mulling

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Heidi Fricks Mulling'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®

CFP^®

Certified Financial Planner

Start date: 2007

Experience

Current

March 20, 2006 - Present

STONEWALL ASSET MGMT., INC.

Office #1: 1401 Bombay Lane, Roswell, GA 30076

RIA

CRD#: 125703

Roswell, GA

Current

May 24, 1996 - Present

RAYMOND JAMES FINANCIAL SERVICES, INC.

Office #1: 285 Peachtree Center Ave Ne Suite 275, Atlanta, GA 30303

CRD#: 6694

Atlanta, GA

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.

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

Alabama
(4/28/1999)

Florida
(1/15/2002)

Georgia
(6/3/1996)

IAR

Georgia
(3/20/2006)

Kansas
(4/17/2023)

Mississippi
(8/12/2013)

Texas
(1/3/2008)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 5/31/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/15/1996

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

STONEWALL ASSET MGMT., INC.

CRD#: 125703 / SEC#:

Georgia

Registered Investment Advisory firm - (2/3/1998 Approved)

Texas

Registered Investment Advisory firm - (10/18/2023 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

1401 Bombay Lane, Roswell, GA 30076

Mailing Address

Phone number

(770) 667-5767

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	76
AUM (Assets Under Management)	$ 37,543,295

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.

Contact information

xxxxx@xxxx.xxx

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Heidi F. Mulling

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Heidi Fricks Mulling's CRS (Customer Relationship Summary).

Certified licenses

Experience

STONEWALL ASSET MGMT., INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/31/1996

SIE

Date: 10/1/2018

Series 7

Date: 4/15/1996

FINRA

Current Firm

STONEWALL ASSET MGMT., INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

STONEWALL ASSET MGMT., INC.

TRUST BUT VERIFY

Contact information

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