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JM

James H. Mullens

BUNDY GROUP SECURITIES
Roanoke, VA 24011
Some features on this profile are disabled
CRD#: 5941142
JM

Professional summary

James H. Mullens IV, who also goes by Jim Mullens, James Harvey Mullens, is a registered financial professional currently at BUNDY GROUP SECURITIES, LLC located in Roanoke, Virginia.

James is registered as a RR (Registered Representative) and started their career in finance in 2021. James has worked at 1 firm and has passed the Series 63, Series 7TO, Series 79TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jim Mullens | James Harvey Mullens

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) - BD

Click below to view James H. Mullens IV'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®
None

Experience

Current

May 18, 2021 - Present

BUNDY GROUP SECURITIES, LLC

Office #1: 102 Campbell Ave Sw #b2, Roanoke, VA 24011
BD
CRD#: 311375
Roanoke, VA

State Registrations and Notice Filings

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

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
North Carolina
(4/22/2024)
RR
Virginia
(11/3/2021)
RR
West Virginia
(4/22/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 11/3/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 12/14/2021
General Securities Representative Examination
General Industry/Product Exam
RR
Series 79TO
Date: 5/18/2021
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 4/2/2019
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

BG
BUNDY GROUP SECURITIES, LLC
BUNDY GROUP SECURITIES, LLC

CRD#: 311375 / SEC#: , 8-70623

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
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Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
2700 Coltsgate Road Suite 201, Charlotte, NC 28211
Mailing Address
2700 Coltsgate Road Suite 201, Charlotte, NC 28211
Phone number
(704) 942-8300
Established
North Carolina since 09/18/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (8 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
BUNDY, WILLIAM CLINTON JR.CEO, CCO, AMLCO5191244
DEGENSHEIN, DEBRA ANNFINANCIAL PRINCIPAL, PFO, POO2923781

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

BUNDY GROUP SECURITIES, LLC

CRD#: 311375Roanoke, VA 24011

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