Michael E. Mullis
KESTRA ADVISORY SERVICES | Wealth Manager
VESTAVIA HILLS, AL
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CRD#: 4038351
Professional summary
Michael Elbert Mullis is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Vestavia Hills, Alabama and KESTRA INVESTMENT SERVICES, LLC located in Vestavia Hills, Alabama.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Michael has worked at 5 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
What are your service offerings?
Institutional consulting
Financial planning
Trading individual securities
Philanthropic services
Insurance
Trust & estate planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
100K
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.
Busi Name: KELLEY AND MULLIS WEALTH MANAGEMENT, INC POSITION: Registered Rep NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 09/20/2023 ADDRESS: 2008 Stonegate Trail, Ste 112, Vestavia Hills AL 35242 DESCRIPTION: Registered Rep Busi Name: KESTRA ADVISORY SERVICES POSITION: IAR NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 09/20/2023 ADDRESS: 5707 Southwest Parkway, Building 2, Suite 400, Austin TX 78735 DESCRIPTION: IAR Busi Name: MULLIS REAL ESTATE LLC POSITION: Owner NATURE: Real Estate INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 12/01/2016 ADDRESS: 2008 STONEGATE TRAIL, STE 112, VESTAVIA HILLS AL 35242 DESCRIPTION: I am the owner of the LLC and a third party collects rent, makes any repairs from those rent funds and sends me that rent check each month. I have NO duties other than depositing the rent check monthly. Busi Name: MULLIS AND MULLIS POSITION: Owner NATURE: Real Estate INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2000 ADDRESS: 2008 STONEGATE TRAIL, STE 112, VESTAVIA HILLS AL 35242 DESCRIPTION: Owner - I simply receive "net" income from rental of condo. No active involvement. Busi Name: DAVIS AND MULLIS POSITION: Owner NATURE: Real Estate INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2007 ADDRESS: 2008 Stonegate Trail, Ste 112, Vestavia Hills AL 35242 DESCRIPTION: I am the the co-owner of the business with my father. I own 66.6%, he owns 33.4%. Busi Name: MICHAEL E MULLIS POSITION: Registered Rep NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 11/01/2013 ADDRESS: 2008 Stonegate Trail, Ste 112, Vestavia Hills AL 35242 DESCRIPTION: Insurance sales as Registered Rep
CRS (Client Relationship Summary) - RIA
Click below to view Michael Elbert Mullis'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®
NoneExperience
Current
September 21, 2023 - Present
KESTRA ADVISORY SERVICES, LLC
RIA
CRD#: 283330
VESTAVIA HILLS, AL
Current
September 21, 2023 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 2008 Stonegate Trail Suite 112, Vestavia Hills, AL 35242BD
CRD#: 42046
Vestavia Hills, AL
Past
November 15, 2012 - October 13, 2023
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
VESTAVIA HILLS, AL
Past
November 15, 2012 - October 13, 2023
SECURITIES AMERICA, INC.
BD
CRD#: 10205
VESTAVIA HILLS, AL
Past
December 10, 1999 - December 5, 2012
LPL FINANCIAL LLC
RIA
CRD#: 6413
VESTAVIA HILLS, AL
Past
November 4, 1999 - December 5, 2012
LPL FINANCIAL LLC
BD
CRD#: 6413
VESTAVIA HILLS, AL
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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 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
Alabama(9/21/2023)
IAR
Alabama(9/21/2023)
RR
Arizona(8/14/2024)
RR
Colorado(9/21/2023)
RR
Florida(9/21/2023)
RR
Georgia(9/21/2023)
RR
Iowa(9/21/2023)
RR
Kansas(3/13/2024)
RR
Kentucky(9/21/2023)
RR
Louisiana(9/21/2023)
RR
Mississippi(9/21/2023)
RR
Missouri(9/21/2023)
RR
New Jersey(8/29/2025)
RR
New York(8/15/2024)
RR
North Carolina(10/16/2023)
RR
Ohio(9/21/2023)
RR
Oklahoma(9/21/2023)
RR
South Carolina(9/21/2023)
RR
Tennessee(9/21/2023)
RR
Texas(9/21/2023)
IAR
Texas(9/21/2023)
RR
Washington(8/12/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
KESTRA ADVISORY SERVICES, LLC
Wealth ManagerCRD#: 283330Vestavia Hills, ALTRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
