RM
Robert E. Mullis
MONEY CONCEPTS CAPITAL CORP
Palm Beach Gardens, FL 33418-3764
Some features on this profile are disabled
CRD#: 5823174
RM
Professional summary
Robert E Mullis, who also goes by Rob Mullis, Robert Emmet Mullis Jr., Robert Emmet Mullis Jr, Robert Emmet Mullis, Robert E. Mullis Jr., is a registered financial advisor currently at MONEY CONCEPTS CAPITAL CORP located in Palm Beach Gardens, Florida.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Robert has worked at 8 firms and has passed the Series 66, Series 99TO, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rob Mullis | Robert Emmet Mullis Jr. | Robert Emmet Mullis Jr | Robert Emmet Mullis | Robert E. Mullis Jr.
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.
Investment Related: NO Address: Boca Raton, FL Business: Rideshare Start: 03/2019 Position: Independent Contractor Appx number of Hours per week: 5 Appx number of Hours during trading hours: varies Description: Driver, Provide Transport
CRS (Client Relationship Summary) - RIA
Click below to view Robert E Mullis's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert E Mullis'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
June 18, 2021 - Present
MONEY CONCEPTS CAPITAL CORP
Office #1: 11440 North Jog Road, Palm Beach Gardens, FL 33418-3764Office #2: 11440 Jog Road, Palm Beach Gardens, FL 33418Office #3: 11440 Jog Road, Palm Beach Gardens, FL 33418RIA
BD
CRD#: 12963
Palm Beach Gardens, FL
Current
June 17, 2021 - Present
MONEY CONCEPTS CAPITAL CORP
Office #1: 11440 North Jog Road, Palm Beach Gardens, FL 33418-3764Office #2: 11440 Jog Road, Palm Beach Gardens, FL 33418Office #3: 11440 Jog Road, Palm Beach Gardens, FL 33418RIA
BD
CRD#: 12963
Palm Beach Gardens, FL
Past
June 24, 2019 - June 17, 2021
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
BOCA RATON, FL
Past
June 21, 2019 - December 3, 2019
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
BOCA RATON, FL
Past
June 21, 2019 - June 17, 2021
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
SAN DIEGO, CA
Past
June 21, 2019 - June 17, 2021
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
SCHAUMBURG, IL
Past
June 21, 2019 - June 17, 2021
CETERA ADVISORS LLC
BD
CRD#: 10299
GREENWOOD VILLAGE, CO
Past
June 21, 2019 - June 17, 2021
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
BOCA RATON, FL
Past
June 6, 2018 - March 8, 2019
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
NEW YORK, NY
Past
February 5, 2014 - March 8, 2019
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
June 20, 2012 - July 22, 2013
PERSHING LLC
BD
CRD#: 7560
LAKE MARY, FL
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".
MC
MONEY CONCEPTS CAPITAL CORP
INTERNATIONAL FINANCIAL SERVICES CAPITAL CORPORATION | MONEY CONCEPTS CAPITAL CORP | MONEY CONCEPTS ADVISORY SERVICE
CRD#: 12963 / SEC#: 801-39736, 8-29671
RIA
Registered Investment Advisory firm - SEC (10/7/1991 Approved)Virgin Islands
Registered Investment Advisory firm - SEC (10/28/2020 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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
Florida(6/17/2021)
IAR
Florida(6/18/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
MC
MONEY CONCEPTS CAPITAL CORP
INTERNATIONAL FINANCIAL SERVICES CAPITAL CORPORATION | MONEY CONCEPTS CAPITAL CORP | MONEY CONCEPTS ADVISORY SERVICE
CRD#: 12963 / SEC#: 801-39736, 8-29671
RIA
Registered Investment Advisory firm - SEC (10/7/1991 Approved)Virgin Islands
Registered Investment Advisory firm - SEC (10/28/2020 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information
Main Address
11440 Jog Road, Palm Beach Gardens, FL 33418
Mailing Address
11440 North Jog Road, Palm Beach Gardens, FL 33418-3764
Phone number
(561) 472-2000
Established
Florida since 06/23/1982
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
431
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MONEY CONCEPTS INTERNATIONAL, INC | OWNS 100% OF MONEY CONCEPTS CAPITAL CORP. | |
| BARNETT, CHERYL MORRIS | VICE PRESIDENT | COMPLIANCE OFFICER | 1795785 |
| MATOS, LIZA MARIA | VICE PRESIDENT | COMPLIANCE OFFICER | 4371969 |
| RITTMAN, BARRY RICHARD | VICE PRESIDENT | CHIEF FINANCIAL OFFICER | 1997994 |
| WALSH, DENIS STEPHEN | PRESIDENT | CHIEF EXECUTIVE OFFICER | 1124278 |
| WALSH, JAMES EDWARD | VICE PRESIDENT | ADVERTISING AND COMMUNICATIONS | 2275368 |
| WALSH, MARY THERESE | SR VICE PRESIDENT | CHIEF COMPLIANCE OFFICER | 2829444 |
Regulatory assets under management
| Total Number of Accounts | 14,898 |
| AUM (Assets Under Management) | $ 3,328,625,395 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 3 |
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.
