Kelly M. Roark
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Candler, NC
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CRD#: 3228448
Professional summary
Kelly Mullin Roark, CFP®, who also goes by Kelly Patricia Mullin Ms., is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Candler, North Carolina and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Asheville, North Carolina.
Kelly is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Kelly has worked at 8 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
What are your service offerings?
Retirement Planning
Investment Planning
Employee and Employer Plan Ben...
Education Planning
Comprehensive Financial Planni...
Insurance Planning
Retirement Income Management
What is your minimum asset requirement?
1
Are you a "fiduciary"?
Yes
Aliases
Kelly Patricia Mullin Ms.
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.
1) PARAGON FINANCIAL LLC, 79 Woodfin Pl, Suite 201, Asheville NC 28801, United States, START DATE 10/2025, Agent, Insurance/Benefits/Human Resources, NIR, 1 HR/MO, 1 HR/MO TRADING 2) PARAGON FINANCIAL LLC, 79 Woodfin Pl, Suite 201, Asheville NC 28801, United States, START DATE 10/2025, Co-Trustee of our 401K plan, Accounting/Bookkeeping/Payroll Services, NIR, 2 HR/MO, 2 HR/MO TRADING 3) THE FRANKLIN SCHOOL OF INNOVATION, 61 Innovation Drive, Asheville NC 28806, United States, START DATE 10/2025, Board Member - Treasurer, Board Member- Treasurer for local Charter School, NIR, 5 HR/MO, 5 HR/MO TRADING 4) PARAGON FINANCIAL LLC, 79 Woodfin Pl, Suite 201, Asheville NC 28801, United States, START DATE 09/2006, Owner, DBA Name, NIR, 40 HR/MO, 40 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Kelly Mullin Roark'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®
Start date: 2020
Experience
Current
October 22, 2025 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #2: 79 Woodfin Place Suite 201, Asheville, NC 28801RIA
CRD#: 134139
Candler, NC
Current
October 22, 2025 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 79 Woodfin Place Ste. 201, Asheville, NC 28801BD
CRD#: 39543
Asheville, NC
Past
August 23, 2023 - October 22, 2025
COMMONWEALTH FINANCIAL NETWORK
RIA
CRD#: 8032
Asheville, NC
Past
August 23, 2023 - October 22, 2025
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
Asheville, NC
Past
April 3, 2009 - August 28, 2023
LPL FINANCIAL LLC
RIA
CRD#: 6413
ASHEVILLE, NC
Past
April 3, 2009 - August 28, 2023
LPL FINANCIAL LLC
BD
CRD#: 6413
ASHEVILLE, NC
Past
May 15, 2007 - May 20, 2009
HARBOR LIGHT SECURITIES, LLC
RIA
CRD#: 130227
ASHEVILLE, NC
Past
April 25, 2007 - May 20, 2009
HARBOR LIGHT SECURITIES, LLC
BD
CRD#: 130227
TAMPA, FL
Past
October 2, 2006 - May 15, 2007
LPL FINANCIAL LLC
RIA
CRD#: 6413
ASHEVILLE, NC
Past
October 2, 2006 - May 15, 2007
LPL FINANCIAL LLC
BD
CRD#: 6413
ASHEVILLE, NC
Past
August 3, 2005 - August 23, 2006
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
ASHEVILLE, NC
Past
January 26, 2005 - August 23, 2006
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
ASHEVILLE, NC
Past
August 15, 2001 - September 13, 2004
WALL AND COMPANY SECURITIES, INC.
BD
CRD#: 40894
FRISCO, TX
Past
November 19, 1999 - July 31, 2001
WACHOVIA SECURITIES, INC.
BD
CRD#: 431
CHARLOTTE, NC
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".
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
Registered Investment Advisory firm - (2/3/2005 Approved)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
Connecticut(10/22/2025)
RR
Florida(10/22/2025)
RR
Georgia(10/22/2025)
RR
Massachusetts(10/22/2025)
RR
Michigan(10/22/2025)
RR
Montana(10/22/2025)
RR
New York(10/22/2025)
IAR
North Carolina(10/22/2025)
RR
North Carolina(10/24/2025)
RR
South Carolina(10/22/2025)
RR
Virginia(10/22/2025)
RR
Washington(10/22/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
Registered Investment Advisory firm - (2/3/2005 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1776 Pleasant Plain Rd., Fairfield, IA 52556-8757
Mailing Address
Phone number
(641) 472-5100
Established
Firm type
Fiscal year end
# of Employees
3,361
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139Candler, NCTRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
