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James R Mullins

Fifth Third Securities, Inc.

Sarasota, FL

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Current Employers
Fifth Third Securities, Inc.

34 Fountain Square Plaza Md 1090Am, Cincinnati, OH 45263 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2024-07-01
  • FL RA
    APPROVED
    Since 2024-07-01

Branch Locations

6265 N Tuttle Ave, Sarasota, FL 34243 • 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
St. Leonard Elementary School Louisville KY 06/2012 06/2016
Fifth Third Bank Sarasota FL 11/2016 Present
None Sarasota FL 07/2016 11/2016
Fifth Third Securities Sarasota FL 02/2024 Present
  • 06/2012 → 06/2016
    St. Leonard Elementary School
    Louisville, KY
  • 11/2016 → Present
    Fifth Third Bank
    Sarasota, FL
  • 07/2016 → 11/2016
    None
    Sarasota, FL
  • 02/2024 → Present
    Fifth Third Securities
    Sarasota, FL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2024-06-28
S63 Uniform Securities Agent State Law Examination 2024-05-10
  • S65 Uniform Investment Adviser Law Examination
    2024-06-28
  • S63 Uniform Securities Agent State Law Examination
    2024-05-10

View on SEC IAPD

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