Jacob S. Mudd

TAVCO FINANCIAL ADVISORY,

Auburn, KY

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CRD#: 7644089

Professional summary

Jacob Shelburn Mudd, who also goes by Jacob Mudd, is a registered financial advisor currently at TAVCO FINANCIAL ADVISORY, INC located in Auburn, Kentucky and THE TAVENNER COMPANY located in Auburn, Kentucky.

Jacob is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Jacob has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jacob Mudd

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) - RIA

Click below to view Jacob Shelburn Mudd'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

February 29, 2024 - Present

TAVCO FINANCIAL ADVISORY, INC

RIA

CRD#: 290084

Auburn, KY

Current

October 5, 2023 - Present

THE TAVENNER COMPANY

Office #1: 219 West Main Street, Auburn, KY 42206

CRD#: 18004

Auburn, KY

Past

March 29, 2023 - October 3, 2023

THRIVENT INVESTMENT MANAGEMENT INC.

RIA

CRD#: 18387

Auburn, KY

Past

March 9, 2023 - October 3, 2023

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

Auburn, KY

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.

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

Arkansas
(7/30/2024)

Indiana
(1/30/2024)

Kentucky
(10/5/2023)

IAR

Kentucky
(2/29/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/28/2023

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/9/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 12/20/2022

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

TAVCO FINANCIAL ADVISORY, INC

CRD#: 290084 / SEC#:

Georgia

Registered Investment Advisory firm - (1/18/2019 Approved)

Kentucky

Registered Investment Advisory firm - (1/26/2024 Approved)

Massachusetts

Registered Investment Advisory firm - (12/31/2025 Termination Requested)

Missouri

Registered Investment Advisory firm - (12/1/2017 Approved)

Ohio

Registered Investment Advisory firm - (11/16/2017 Approved)

Virginia

Registered Investment Advisory firm - (12/8/2023 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

4910 Old Mechanicsburg Rd, Springfield, OH 45502

Mailing Address

Phone number

(937) 399-8415

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	46
AUM (Assets Under Management)	$ 3,914,269

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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Jacob S. Mudd

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jacob Shelburn Mudd's CRS (Customer Relationship Summary).

Certified licenses

Experience

TAVCO FINANCIAL ADVISORY, INC

THE TAVENNER COMPANY

THRIVENT INVESTMENT MANAGEMENT INC.

THRIVENT INVESTMENT MANAGEMENT INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 3/28/2023

Series 7TO

Date: 3/9/2023

SIE

Date: 12/20/2022

FINRA

Current Firm

TAVCO FINANCIAL ADVISORY, INC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

TAVCO FINANCIAL ADVISORY, INC

TRUST BUT VERIFY

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