Brad B. Mullikin
Professional summary
Brad Broome Mullikin, who also goes by Bradley Broome Mullikin, is a registered financial professional currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Peachtree Corners, Georgia.
Brad is registered as a RR (Registered Representative) and started their career in finance in 1997. Brad has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 14, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Brad Broome Mullikin's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 6, 2012 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 12, 2002 - January 6, 2012
WORLD GROUP SECURITIES, INC.
January 27, 1998 - April 12, 2002
WMA SECURITIES, INC.
February 19, 1997 - June 17, 1997
WMA SECURITIES, INC.
Primary Firm SEC Registration
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/7/2023)
(12/24/2014)
(1/6/2012)
(1/8/2025)
(8/1/2023)
(11/27/2013)
(11/22/2013)
Exams
FINRA
Current Firm
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 3 |
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.
