Roy E. Mullin

PLAYBOOK ADVISERS LLC

AUSTIN, TX

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CRD#: 3002559

Professional summary

Roy Earl Mullin is a registered financial advisor currently at PLAYBOOK ADVISERS LLC located in Austin, Texas.

Roy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Roy has worked at 3 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 26 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.

In 2021, I became a founder of Karmic Payback, LLC, a business consulting service for private companies on path to an IPO or as an M&A target. IN 2020, I EARNED AN 8% INTEREST IN LITHIFIED TECHNOLOGIES TEXAS, LLC, (LTTX) THROUGH "SWEAT EQUITY". LTTX MARKETS A PRODUCT FOR STABILIZING ROAD BASES. LTTX IS NOT A CLIENT OF ROY MULLIN ENTERPRISES, LLC., AND IS NOT INVESTMENT-RELATED. THE PRINCIPAL OFFICE OF LTTX IS IN HOUSTON, TEXAS. IN AUGUST, 2022 I RESIGNED FROM LTTX AS AN EMPLOYEE AND SPEND ZERO HOURS ON THAT BUSINESS. I RETAINED MY EQUITY IN LTTX. IN DECEMBER 2014 I BECAME INSURANCE LICENSED IN THE STATE OF TEXAS FOR HEALTH AND LIFE INSURANCE. IN MAY OF 2022 I RELINQUISHED MY INSURANCE LICENSE AND NO LONGER PARTICIPATE IN THAT BUSINESS. ROY MULLIN ENTERPRISES, LLC - 1003 BERRYWOOD DRIVE, AUSTIN, TX 78753 - RIA - INVESTMENT-RELATED - OWNER - 09/05 TO PRESENT - 2 HOURS PER WEEK OCCURS DURING SECURITIES TRADING HOURS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roy Earl Mullin'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®

None

Experience

Current

October 1, 2005 - Present

PLAYBOOK ADVISERS LLC

RIA

CRD#: 136194

AUSTIN, TX

Past

September 19, 2005 - October 3, 2005

UNITED SECURITIES ALLIANCE, INC.

RIA

CRD#: 36487

HOUSTON, TX

Past

September 15, 2005 - October 3, 2005

UNITED SECURITIES ALLIANCE, INC.

CRD#: 36487

GREENWOOD VILLAGE, CO

Past

November 8, 2002 - September 8, 2005

UNITED SECURITIES ALLIANCE, INC.

RIA

CRD#: 36487

HOUSTON, TX

Past

June 25, 2002 - September 8, 2005

UNITED SECURITIES ALLIANCE, INC.

CRD#: 36487

GREENWOOD VILLAGE, CO

Past

December 19, 2001 - June 24, 2002

UNITED SECURITIES ALLIANCE, INC.

CRD#: 36487

GREENWOOD VILLAGE, CO

Past

February 24, 1998 - November 30, 2001

WMA SECURITIES, INC.

CRD#: 32625

DULUTH, 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.

Highlighted states indicate IAR registrations

IAR

Texas
(10/1/2005)

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

State Security Law Exam

IAR

Series 65

Date: 10/19/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/23/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/21/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/23/1998

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 6/1/1998

Investment Company Products/Variable Contracts Principal Examination

Current Firm

PLAYBOOK ADVISERS LLC

PLAYBOOK ADVISERS LLC | ROY MULLIN ENTERPRISES, LLC

CRD#: 136194 / SEC#:

Texas

Registered Investment Advisory firm - (12/20/2023 Approved)

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Contact information

Main Address

Goldthwaite, TX

Mailing Address

Phone number

(512) 422-7040

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

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Firm Stability Insights

Roy E. Mullin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roy Earl Mullin's CRS (Customer Relationship Summary).

Certified licenses

Experience

UNITED SECURITIES ALLIANCE, INC.

UNITED SECURITIES ALLIANCE, INC.

UNITED SECURITIES ALLIANCE, INC.

UNITED SECURITIES ALLIANCE, INC.

UNITED SECURITIES ALLIANCE, INC.

WMA SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/19/1998

Series 63

Date: 2/23/1998

Series 7

Date: 9/21/1998

Series 6

Date: 2/23/1998

Series 26

Date: 6/1/1998

Current Firm

PLAYBOOK ADVISERS LLC

Contact information

Documents

Red Flags

Company Information

PLAYBOOK ADVISERS LLC

TRUST BUT VERIFY

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