James H. Mullens Iv
Professional Summary
James H. Mullens IV, who also goes by Jim Mullens, James Harvey Mullens, is a registered financial advisor 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Jim Mullens, James Harvey Mullens
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
7 years registered in the securities industry
Current & Past Employments
Current
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Current Firm
BUNDY GROUP SECURITIES, LLC
Contact Information
Main Address
2700 Coltsgate Road Suite 201, Charlotte, NC 28211Mailing Address
2700 Coltsgate Road Suite 201, Charlotte, NC 28211Phone Number
(704) 942-8300Established
North Carolina since 09/18/2020Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (8 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(4/22/2024)
(11/3/2021)
(4/22/2024)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed May 2021About the Series 79TO examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view James H. Mullens IV's CRS (Customer Relationship Summary).
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