Thomas B. Mullinix

TFB ADVISORS

Lakewood, CO 80228

Some features on this profile are disabled

CRD#: 5792865

Professional summary

Thomas Baker Mullinix, who also goes by Thomas Baxter Mullinix, is a registered financial advisor currently at TFB ADVISORS, LLC located in Lakewood, Colorado and AMERITAS INVESTMENT COMPANY, LLC located in Lakewood, Colorado.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Thomas has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas Baxter Mullinix

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.

TAX FAVORED BENEFITS; SAME AS BRANCH; INV REL; FIXED INSURANCE PRODUCTS; ASSOCIATE; START DATE=06/2010; HRS/MO=40; TRADING HRS/MO=40; SELLING INSURANCE PRODUCTS * C & R BROKERAGE, INC.; SAME AS BRANCH; NON-INV REL; REAL ESTATE SALES AND LEASING; OWNER; START DATE=10/2014; HRS/MO=5; TRADING HRS/MO=0; REAL ESTATE SALES AND LEASING * Foundational Financial Partners; same as branch; inv rel; sales of fixed insurance products; Producer; start date=05/2016; hrs/mo=20; trading hrs/mo=15; prospecting for and servicing clients in the financial services arena * TFB Advisors, LLC; same as branch; inv rel; Independent RIA; Investment Adviser Representative; start date=08/2022; hrs/mo=40; trading hrs/mo=40; management of investment services for clients * Crabapple House LLC; 14550 Crabapple Rd, Golden CO 80401; non-inv rel; rental property-single family home; Partner; start date=06/2023; hrs/mo=1; trading hrs/mo=0; property owner

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Baker Mullinix'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 5, 2022 - Present

TFB ADVISORS, LLC

Office #1: 274 Union Blvd Suite 220, Lakewood, CO 80228

RIA

CRD#: 321870

Lakewood, CO

Current

June 14, 2010 - Present

AMERITAS INVESTMENT COMPANY, LLC

Office #1: 225 Union Blvd Ste 150, Lakewood, CO 80228

CRD#: 14869

Lakewood, CO

Past

November 1, 2021 - June 30, 2023

AMERITAS ADVISORY SERVICES, LLC

RIA

CRD#: 317245

LAKEWOOD, CO

Past

August 26, 2010 - November 1, 2021

AMERITAS INVESTMENT COMPANY, LLC

RIA

CRD#: 14869

LAKEWOOD, CO

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".

TFB ADVISORS, LLC

CRD#: 321870 / SEC#: 801-126142

RIA

Registered Investment Advisory firm - (7/21/2022 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.

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

California
(6/10/2021)

Colorado
(6/14/2010)

IAR

Colorado
(8/5/2022)

Kansas
(6/1/2012)

Missouri
(9/21/2017)

IAR

Montana
(7/20/2023)

New Jersey
(9/6/2017)

Ohio
(10/20/2020)

Texas
(8/26/2013)

Washington
(8/22/2012)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/27/2010

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/13/2010

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

TFB ADVISORS, LLC

CRD#: 321870 / SEC#: 801-126142

RIA

Registered Investment Advisory firm - (7/21/2022 Approved)

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

4801 West 110th Street Suite 200, Overland Park, KS 66211

Mailing Address

Phone number

(913) 648-5526

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE FOR TFB ADVISORS, LLC (9/24/2025)

Regulatory assets under management

Total Number of Accounts	3,047
AUM (Assets Under Management)	$ 859,559,702

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

Craig Johlfs

LPL FINANCIAL LLC

IAR

Greenwood Village, CO

Ralph Jones

OPPENHEIMER & CO. INC.

IAR

Denver, CO

Lorie Jones

TANDEM FINANCIAL, LLC

IAR

GREENWOOD VILLAGE, CO

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Thomas B. Mullinix

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Baker Mullinix's CRS (Customer Relationship Summary).

Certified licenses

Experience

AMERITAS INVESTMENT COMPANY, LLC

AMERITAS ADVISORY SERVICES, LLC

AMERITAS INVESTMENT COMPANY, LLC

Primary Firm SEC Registration

TFB ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/27/2010

SIE

Date: 10/1/2018

Series 7

Date: 6/13/2010

FINRA

Current Firm

TFB ADVISORS, LLC

Contact information

SEC notice filing (24 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TFB ADVISORS, LLC

TRUST BUT VERIFY

Similar Advisors