Seth B. Mullikin

LATTICE FINANCIAL

Charlotte, NC

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CRD#: 6690756

Professional summary

Seth Benjamin Mullikin, CFP® is a registered financial advisor currently at LATTICE FINANCIAL, LLC located in Charlotte, North Carolina.

Seth is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Seth has worked at 3 firms and has passed the Series 65, Series 63, 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.

Name of the other business: ROL Advisor Investment-related: No Address of the other business: P.O. Box 167 Sister Bay, Wisconsin 54234 Nature of the other business: Software, training, and marketing support for financial advisors Position, title, or relationship with the other business: Member Success Manager Start date of your relationship: 09/2019 Approximate number of hours/month you devote to the other business: 15 hours/month Number of hours you devote to the other business during securities trading hours: 15 hours/month Duties relating to the other business: Onboarding new members, explaining the software and assisting with monthly webinars Name of Other Business: 10 Jameson St, LLC Investment Related: Investment Real Estate Address of other Business: 1100A Rutherford Road, Greenville, SC 29609 Nature of Other business: Real Estate Investment Position: Member Relationship: Member and part-owner Start Date: I have been a passive member of the LLC since October 2018, but began an active role in April 2021. Approximate Number of Hours per Month: 1-3 Number of Hours Devoted During Security Trading Hours: 1-3 Duties: Assist with collecting payments and maintaining property.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Seth Benjamin Mullikin'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®

CFP^®

Certified Financial Planner

Start date: 2020

Experience

Current

November 24, 2020 - Present

LATTICE FINANCIAL, LLC

RIA

CRD#: 310836

Charlotte, NC

Past

November 20, 2017 - September 20, 2019

VANGUARD ADVISERS, INC.

RIA

CRD#: 106715

CHARLOTTE, NC

Past

August 31, 2016 - September 20, 2019

VANGUARD MARKETING CORPORATION

CRD#: 7452

CHARLOTTE, NC

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.

Highlighted states indicate IAR registrations

IAR

North Carolina
(11/24/2020)

IAR

South Carolina
(1/8/2024)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/17/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/12/2016

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/31/2016

General Securities Representative Examination

Current Firm

LATTICE FINANCIAL, LLC

LATTICE FINANCIAL | LATTICE FINANCIAL, LLC

CRD#: 310836 / SEC#:

North Carolina

Registered Investment Advisory firm - (11/24/2020 Approved)

South Carolina

Registered Investment Advisory firm - (1/8/2024 Approved)

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Contact information

Main Address

Charlotte, NC

Mailing Address

Phone number

(704) 812-7252

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	9
AUM (Assets Under Management)	$ 2,236,221

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.

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Seth B. Mullikin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Seth Benjamin Mullikin's CRS (Customer Relationship Summary).

Certified licenses

Experience

LATTICE FINANCIAL, LLC

VANGUARD ADVISERS, INC.

VANGUARD MARKETING CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 11/17/2017

Series 63

Date: 9/12/2016

SIE

Date: 10/1/2018

Series 7

Date: 8/31/2016

Current Firm

LATTICE FINANCIAL, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

LATTICE FINANCIAL, LLC

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