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Seth Benjamin Mullikin

Seth B. Mullikin

LATTICE FINANCIAL
CHARLOTTE, NC
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CRD#: 6690756
Seth Benjamin Mullikin
Seth Benjamin MullikinLATTICE FINANCIAL

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.

At a Glance

Always Fiduciary

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

BD
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)

Exams

State Security Law Exam
IAR
Series 65
Date: 11/17/2017
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/12/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/31/2016
General Securities Representative Examination

Current Firm

LF
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
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts15
AUM (Assets Under Management)$ 3,910,152

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

LATTICE FINANCIAL, LLC

CRD#: 310836Charlotte, NC

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