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TM

Thomas B. Mullins

DAKOTA WEALTH
Richmond, VA 23226
Some features on this profile are disabled
CRD#: 4526562
TM

Professional summary

Thomas Broderick Mullins, who also goes by Broderick Mullins, is a registered financial advisor currently at DAKOTA WEALTH, LLC located in Richmond, Virginia.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Thomas has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Broderick Mullins

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 Thomas Broderick 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

August 16, 2023 - Present

DAKOTA WEALTH, LLC

Office #1: 7275 Glen Forest Drive Suite 206, Richmond, VA 23226
RIA
CRD#: 297987
Richmond, VA
Past

December 8, 2020 - July 31, 2023

COVENANT WEALTH ADVISORS

RIA
CRD#: 155221
Richmond, VA
Past

September 19, 2016 - October 7, 2019

FUNDS DISTRIBUTOR, LLC

BD
CRD#: 7174
RICHMOND, VA
Past

August 15, 2016 - October 4, 2019

THOMPSON SIEGEL & WALMSLEY LLC

RIA
CRD#: 105726
RICHMOND, VA
Past

April 1, 2011 - July 11, 2016

DAVENPORT & COMPANY LLC

RIA
CRD#: 1588
RICHMOND, VA
Past

April 1, 2011 - July 11, 2016

DAVENPORT & COMPANY LLC

BD
CRD#: 1588
RICHMOND, VA
Past

March 16, 2009 - March 30, 2011

TRUIST INVESTMENT SERVICES, INC.

RIA
CRD#: 17499
RICHMOND, VA
Past

September 5, 2008 - March 30, 2011

TRUIST INVESTMENT SERVICES, INC.

BD
CRD#: 17499
RICHMOND, VA
Past

May 7, 2007 - August 6, 2008

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
RICHMOND, VA
Past

May 10, 2004 - September 20, 2004

DAVENPORT & COMPANY LLC

BD
CRD#: 1588
RICHMOND, VA

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".
DW
DAKOTA WEALTH, LLC
DAKOTA WEALTH MANAGEMENT | SPRINGSIDE PARTNERS | OAKMONT PARTNERS | DAKOTA WEALTH, LLC

CRD#: 297987 / SEC#: 801-114097

RIA
Registered Investment Advisory firm - (10/8/2018 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
Virginia
(8/16/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/13/2009
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 5/10/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/12/2008
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 5/5/2007
Investment Company Products/Variable Contracts Representative Examination

Current Firm

DW
DAKOTA WEALTH, LLC
DAKOTA WEALTH MANAGEMENT | SPRINGSIDE PARTNERS | OAKMONT PARTNERS | DAKOTA WEALTH, LLC

CRD#: 297987 / SEC#: 801-114097

RIA
Registered Investment Advisory firm - (10/8/2018 Approved)
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Contact information

Main Address
11376 N. Jog Road Suite 101, Palm Beach Gardens, FL 33418-1752
Mailing Address
Phone number
(561) 774-8101
Established
Firm type
Fiscal year end
# of Employees
78

SEC notice filing (37 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

DAKOTA WEALTH FORM ADV PART 2A (10/15/2025)

Regulatory assets under management

Total Number of Accounts9,786
AUM (Assets Under Management)$ 6,335,261,507

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
06/10/2025
Cover Page
Report
09/13/2024
Cover Page
Report
11/21/2023
Cover Page
Report
01/18/2023
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.

Company Information

DAKOTA WEALTH, LLC

CRD#: 297987Richmond, VA 23226

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