Jonas F. Mullins

Some features on this profile are disabled

CRD#: 4732194

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.

Jonas Fredric Mullins JR., CIMA®, who also goes by Jay Mullins, Jonas Fredric Mullins, was a registered financial professional .

Jonas is a previously registered financial professional and started their career in finance in 2003. Jonas had worked at 4 firms and has passed the Series 63, Series 65 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jay Mullins | Jonas Fredric 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)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CIMA^®

Certified Investment Management Analyst

Experience

Past

August 18, 2017 - September 20, 2018

ARGENT RETIREMENT PLAN ADVISORS, LLC

RIA

CRD#: 165031

Greenville, SC

Past

September 30, 2013 - March 28, 2014

MMC SECURITIES LLC

RIA

CRD#: 103846

BOSTON, MA

Past

September 5, 2013 - September 26, 2013

MMC SECURITIES LLC

RIA

CRD#: 103846

BOSTON, MA

Past

September 5, 2013 - March 28, 2014

MMC SECURITIES LLC

CRD#: 103846

BOSTON, MA

Past

March 15, 2007 - August 7, 2013

BB&T INSTITUTIONAL INVESTMENT ADVISERS, INC.

RIA

CRD#: 106156

GREENVILLE, SC

Past

December 20, 2005 - August 13, 2013

INTERCAROLINA FINANCIAL SERVICES, INC.

CRD#: 19475

GREENSBORO, NC

Past

November 25, 2003 - August 5, 2004

INTERCAROLINA FINANCIAL SERVICES, INC.

CRD#: 19475

GREENSBORO, 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".

ARGENT RETIREMENT PLAN ADVISORS, LLC

CRD#: 165031 / SEC#: 801-78568

RIA

Registered Investment Advisory firm - (9/20/2013 Approved)

Oklahoma

Registered Investment Advisory firm - (9/23/2013 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 12/26/2005

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 4/25/2003

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 11/24/2003

General Securities Representative Examination

Current Firm

ARGENT RETIREMENT PLAN ADVISORS, LLC

CRD#: 165031 / SEC#: 801-78568

RIA

Registered Investment Advisory firm - (9/20/2013 Approved)

Oklahoma

Registered Investment Advisory firm - (9/23/2013 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

201 St. Charles Ave. Suite 2420, New Orleans, LA 70170

Mailing Address

Phone number

(381) 251-5800

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

PART 2 DISCLOSURE BROCHURE (3/20/2025)

Regulatory assets under management

Total Number of Accounts	49
AUM (Assets Under Management)	$ 651,910,127

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Jonas F. Mullins

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MMC SECURITIES LLC

MMC SECURITIES LLC

MMC SECURITIES LLC

BB&T INSTITUTIONAL INVESTMENT ADVISERS, INC.

INTERCAROLINA FINANCIAL SERVICES, INC.

INTERCAROLINA FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

ARGENT RETIREMENT PLAN ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/26/2005

Series 65

Date: 4/25/2003

Series 7

Date: 11/24/2003

Current Firm

ARGENT RETIREMENT PLAN ADVISORS, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ARGENT RETIREMENT PLAN ADVISORS, LLC

TRUST BUT VERIFY

Similar Advisors