Michael F. Mulling

STONEWALL ASSET MGMT.

ROSWELL, GA 30076

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CRD#: 816376

Professional summary

Michael Francis Mulling, who also goes by Mike Mulling, is a registered financial advisor currently at STONEWALL ASSET MGMT., INC. located in Roswell, Georgia and RAYMOND JAMES FINANCIAL SERVICES, INC. located in Roswell, Georgia.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1975. Michael has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 1, Series 51 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mike Mulling

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.

1) Stonewall Asset Management, Inc. Address: 1401 Bombay Lane, Roswell, GA Nature of the Business: Independent RIA Position/Title: Advisor, Officer - President, Owner/Proprietor Investment Related: Yes Start Date: 10/19/2020 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: Manage assets for clients along with my co-owner Heidi Mulling. Perform Financial Planning issues with clients with my co-owner Heidi Mulling. Compliance duties to remain compliant with State regs as the Chief Compliance Officer .Branch Manager RJFS 67

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Francis Mulling'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

July 17, 2006 - Present

STONEWALL ASSET MGMT., INC.

Office #1: 1401 Bombay Lane, Roswell, GA 30076

RIA

CRD#: 125703

ROSWELL, GA

Current

May 17, 1995 - Present

RAYMOND JAMES FINANCIAL SERVICES, INC.

Office #1: 1401 Bombay Lane, Roswell, GA 30076

CRD#: 6694

Roswell, GA

Past

January 10, 1990 - May 25, 1995

J.C. BRADFORD & CO.

CRD#: 1287

NEW YORK, NY

Past

August 21, 1981 - January 30, 1990

THE ROBINSON-HUMPHREY COMPANY, LLC

CRD#: 723

ATLANTA, GA

Past

December 17, 1975 - August 1, 1981

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

Past

December 17, 1975 - August 1, 1981

OSAIC FA, INC.

CRD#: 3978

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

Alabama
(3/1/2007)

Florida
(5/17/1995)

Georgia
(5/17/1995)

IAR

Georgia
(7/17/2006)

Indiana
(2/13/2013)

Kansas
(4/17/2023)

Maine
(4/11/2022)

Mississippi
(9/4/2013)

North Carolina
(1/25/2024)

South Carolina
(10/3/2017)

Texas
(1/3/2008)

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 65

Date: 5/3/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/27/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 10/4/1983

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 8/15/1981

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 12/15/1975

Registered Representative Examination

Principal/Supervisory Exam

Series 51

Date: 9/18/2003

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 11/16/1995

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

STONEWALL ASSET MGMT., INC.

CRD#: 125703 / SEC#:

Georgia

Registered Investment Advisory firm - (2/3/1998 Approved)

Texas

Registered Investment Advisory firm - (10/18/2023 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

1401 Bombay Lane, Roswell, GA 30076

Mailing Address

Phone number

(770) 667-5767

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	76
AUM (Assets Under Management)	$ 37,543,295

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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Michael F. Mulling

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Francis Mulling's CRS (Customer Relationship Summary).

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES, INC.

J.C. BRADFORD & CO.

THE ROBINSON-HUMPHREY COMPANY, LLC

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/3/1995

Series 63

Date: 8/27/1981

SIE

Date: 10/1/2018

Series 3

Date: 10/4/1983

Series 7

Date: 8/15/1981

Series 1

Date: 12/15/1975

Series 51

Date: 9/18/2003

Series 24

Date: 11/16/1995

FINRA

Current Firm

STONEWALL ASSET MGMT., INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

STONEWALL ASSET MGMT., INC.

TRUST BUT VERIFY

Contact information

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