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Inactive

Thomas Broderick Mullins

Dakota Wealth, LLC

Palm Beach Gardens, FL

Richmond, VA

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Current Employers
Dakota Wealth, Llc

11376 N. Jog Road Suite 101, Palm Beach Gardens, FL 33418-1752 • United States

Current Registrations

AuthorityCategoryStatusDate
VA RA APPROVED 2023-08-16
  • VA RA
    APPROVED
    Since 2023-08-16

Branch Locations

11376 N. Jog Road Suite 101, Palm Beach Gardens, FL 33418-1752 • United States

7275 Glen Forest Drive Suite 206, Richmond, VA 23226 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Thompson, Siegel & Walmsley Llc Richmond VA 08/2016 10/2019
Funds Distributor, Llc Richmond VA 09/2016 10/2019
Fonville Wealth Management Llc, Dba Covenant Wealth Advisors Williamsburg VA 12/2020 08/2023
Unemployed Richmond VA 10/2019 12/2020
Dakota Wealth, Llc Richmond VA 08/2023 Present
  • 08/2016 → 10/2019
    Thompson, Siegel & Walmsley Llc
    Richmond, VA
  • 09/2016 → 10/2019
    Funds Distributor, Llc
    Richmond, VA
  • 12/2020 → 08/2023
    Fonville Wealth Management Llc, Dba Covenant Wealth Advisors
    Williamsburg, VA
  • 10/2019 → 12/2020
    Unemployed
    Richmond, VA
  • 08/2023 → Present
    Dakota Wealth, Llc
    Richmond, VA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-03-13
S63 Uniform Securities Agent State Law Examination 2007-05-10
  • S66 Uniform Combined State Law Examination
    2009-03-13
  • S63 Uniform Securities Agent State Law Examination
    2007-05-10
Other Names
  • Broderick Mullins

View on SEC IAPD

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