JM
John R. Mullett
KESTRA ADVISORY SERVICES
Canton, OH 44703
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CRD#: 5725331
JM
Professional summary
John Robert Mullett is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Canton, Ohio and KESTRA INVESTMENT SERVICES, LLC located in Canton, Ohio.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. John has worked at 5 firms and has passed the Series 66, SIE and Series 7 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.
Business Name: Pleasant Wealth, LLC Investment Related: Yes Address: 4585 SR 39 Berlin OH 44610 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Advisor Start Date: 3/10/2010 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Client facing duties including client acquisition, recommendations, reviews, and customer service. Business Name: Kestra Advisory Services, LLC Investment Related: Yes Address: 5707 Southwest Parkway, Building 2, Suite 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: IAR Start Date: 7/25/2019 Hours per month: 41% - 50% (65 - 80 hours) Hours per month during trading hours: 41% - 50% (57 - 70 hours) Duties: Client meetings, investment advisory services/recommendations, part of team managing proprietary models. Business Name: Ash Brokerage Investment Related: Yes Address: 39555 Orchard Hill Place #515 Novi MI 48375 Nature of Business: Insurance Position, Title or Relationship: Indeopendent insurance agent Start Date: 9/8/2020 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Selling fixed/life insurance products - no contractual production obligations. Business Name: Business Underwriters Associates Investment Related: Yes Address: 3600 Embassy Parkway Ste 100 Akron OH 44333 Nature of Business: Insurance Position, Title or Relationship: Independent insurance agent - access products through BUA's platform Start Date: 1/1/2014 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Independent sales, but no contractual obligation to sell or produce anything or any specific amount Business Name: COUNTERPOINT WEALTH, LLC POSITION: Owner/Sole Member NATURE: Pass through entity for tax purposes INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 8 START DATE: 08/07/2024 ADDRESS: 216 Plum Street, Danville OH 43014 DESCRIPTION: Business record keeping and cash flows. COUNTERPOINT WEALTH, LLC POSITION: Owner/Sole Member NATURE: Pass through entity for tax purposes INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 8 START DATE: 08/07/2024 ADDRESS: 216 Plum Street, Danville OH 43014, United States DESCRIPTION: Business record keeping and cash flows.
CRS (Client Relationship Summary) - RIA
Click below to view John Robert Mullett'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
July 25, 2019 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 720 Mckinley Ave Nw, Canton, OH 44703Office #2: 4581 Township Rd 634, Millersburg, OH 44654RIA
CRD#: 283330
Canton, OH
Current
July 25, 2019 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 720 Mckinley Avenue Nw, Canton, OH 44703Office #2: 4581 Township Rd 634, Millersburg, OH 44654BD
CRD#: 42046
Canton, OH
Past
July 20, 2012 - July 25, 2019
ON INVESTMENT MANAGEMENT CO
RIA
CRD#: 105662
Danville, OH
Past
June 16, 2010 - July 29, 2019
HUMMEL WEALTH MANAGEMENT, LLC
RIA
CRD#: 143523
BERLIN, OH
Past
June 8, 2010 - December 31, 2010
ON INVESTMENT MANAGEMENT CO
RIA
CRD#: 105662
CINCINNATI, OH
Past
February 10, 2010 - July 25, 2019
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
Danville, OH
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
Arkansas(7/25/2019)
RR
Colorado(7/25/2019)
RR
Florida(7/25/2019)
RR
Idaho(3/19/2020)
RR
Illinois(7/25/2019)
RR
Indiana(7/25/2019)
RR
Iowa(4/6/2020)
RR
Kentucky(4/20/2021)
RR
Maryland(7/25/2019)
RR
Michigan(2/3/2020)
RR
Montana(7/25/2019)
RR
North Carolina(7/26/2019)
RR
Ohio(7/25/2019)
IAR
Ohio(7/25/2019)
RR
Oklahoma(7/25/2019)
RR
Pennsylvania(7/25/2019)
RR
South Carolina(7/25/2019)
RR
Virginia(7/25/2019)
RR
West Virginia(7/25/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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
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.
