Joel S. Mullins

PETTINGA FINANCIAL ADVISORS

Evansville, IN 47708

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CRD#: 4234199

Professional summary

Joel Scott Mullins is a registered financial advisor currently at PETTINGA FINANCIAL ADVISORS, LLC located in Evansville, Indiana.

Joel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Joel has worked at 11 firms and has passed the Series 63, Series 66, SIE, Series 7 and Series 24 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joel Scott Mullins's CRS (Customer Relationship Summary).

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

June 28, 2018 - Present

PETTINGA FINANCIAL ADVISORS, LLC

Office #1: 519 Main Street, Ste 100, Evansville, IN 47708

RIA

CRD#: 156369

Evansville, IN

Past

November 20, 2015 - June 28, 2018

FDX ADVISORS, INC.

RIA

CRD#: 104601

Evansville, IN

Past

October 27, 2014 - November 9, 2015

FIFTH THIRD SECURITIES, INC.

RIA

CRD#: 628

EVANSVILLE, IN

Past

October 27, 2014 - November 9, 2015

FIFTH THIRD SECURITIES, INC.

CRD#: 628

EVANSVILLE, IN

Past

April 10, 2014 - October 24, 2014

LPL FINANCIAL LLC

RIA

CRD#: 6413

EVANSVILLE, IN

Past

April 9, 2014 - October 24, 2014

LPL FINANCIAL LLC

CRD#: 6413

EVANSVILLE, IN

Past

May 10, 2011 - March 12, 2014

BB&T INVESTMENT SERVICES, INC.

CRD#: 33856

OWENSBORO, KY

Past

April 14, 2011 - March 12, 2014

BB&T INVESTMENT SERVICES, INC.

RIA

CRD#: 33856

OWENSBORO, KY

Past

February 2, 2006 - April 20, 2009

INVEST FINANCIAL CORPORATION

RIA

CRD#: 12984

MADISONVILLE, KY

Past

November 30, 2005 - April 20, 2009

INVEST FINANCIAL CORPORATION

CRD#: 12984

MADISONVILLE, KY

Past

September 8, 2005 - December 1, 2005

ONB INVESTMENT SERVICES, INC.

CRD#: 31583

EVANSVILLE, IN

Past

March 18, 2004 - September 12, 2005

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

July 20, 2001 - November 3, 2003

PFIC SECURITIES CORPORATION

CRD#: 34941

FRANKLIN, TN

Past

August 22, 2000 - October 13, 2000

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

August 22, 2000 - October 13, 2000

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

PETTINGA FINANCIAL ADVISORS, LLC

CRD#: 156369 / SEC#: 801-72154

RIA

Registered Investment Advisory firm - (2/11/2011 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.

Highlighted states indicate IAR registrations

IAR

Indiana
(6/28/2018)

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

Series 63

Date: 11/25/2014

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 8/30/2000

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 11/9/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/21/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/28/2003

General Securities Principal Examination

Current Firm

PETTINGA FINANCIAL ADVISORS, LLC

CRD#: 156369 / SEC#: 801-72154

RIA

Registered Investment Advisory firm - (2/11/2011 Approved)

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Contact information

Main Address

519 Main Street, Ste 100, Evansville, IN 47708

Mailing Address

Phone number

(812) 436-4000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PETTINGA FINANCIAL ADVISORS, LLC - FORM ADV PART 2A - MARCH 31, 2025 (4/1/2025)

Regulatory assets under management

Total Number of Accounts	2,184
AUM (Assets Under Management)	$ 1,112,782,969

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
04/30/2025	Cover Page	Report
01/15/2024	Cover Page	Report

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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Advisor Monitoring

Firm Stability Insights

Joel S. Mullins

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joel Scott Mullins's CRS (Customer Relationship Summary).

Certified licenses

Experience

FDX ADVISORS, INC.

FIFTH THIRD SECURITIES, INC.

FIFTH THIRD SECURITIES, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

BB&T INVESTMENT SERVICES, INC.

BB&T INVESTMENT SERVICES, INC.

INVEST FINANCIAL CORPORATION

INVEST FINANCIAL CORPORATION

ONB INVESTMENT SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

PFIC SECURITIES CORPORATION

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

PETTINGA FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/25/2014

Series 66

Date: 8/30/2000

SIE

Date: 11/9/2015

Series 7

Date: 8/21/2000

Series 24

Date: 2/28/2003

Current Firm

PETTINGA FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

PETTINGA FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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