David A. Mullenax
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
David Alan Mullenax, who also goes by Dave Mullenax, was a registered financial advisor .
David is a previously registered financial advisor and started their career in finance in 1999. David had worked at 10 firms and has passed the Series 65, Series 63, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 26, 2013 - July 12, 2013
RESOURCE HORIZONS GROUP LLC
May 9, 2012 - June 28, 2013
ADVISORY SERVICES NETWORK
June 28, 2011 - April 30, 2012
SOWELL MANAGEMENT
June 15, 2007 - June 27, 2011
PACIFIC WEST FINANCIAL CONSULTANTS INC
May 30, 2007 - June 27, 2011
PACIFIC WEST SECURITIES, INC.
March 10, 2005 - May 25, 2007
SYNERGY INVESTMENT GROUP, LLC
January 18, 2005 - May 25, 2007
SYNERGY INVESTMENT GROUP, LLC
April 19, 2001 - January 19, 2005
DORTCH SECURITIES & INVESTMENTS, INC.
January 24, 2001 - April 20, 2001
STIFEL, NICOLAUS & COMPANY, INCORPORATED
July 19, 2000 - January 30, 2001
DORTCH SECURITIES & INVESTMENTS, INC.
July 27, 1999 - February 22, 2000
SAN CLEMENTE SECURITIES, INC.
April 26, 1999 - July 26, 1999
LEGACY FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
RESOURCE HORIZONS GROUP LLC
CRD#: 104368 / SEC#: , 8-52830
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
| Arbitration | 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.
