Kelly Mullin Roark

Employer firm

Cambridge Investment Research Advisors, Inc. CRD 134139

$139B regulatory AUM 68,815 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Market timing

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 04/2009 → 08/2023
  Lpl Financial Llc
  Asheville, NC
• 08/2023 → 10/2025
  Commonwealth Financial Network
  Waltham, MA
• 01/2011 → Present
  Paragon Financial, Llc
  Asheville, NC
• 10/2025 → Present
  Cambridge Investment Research, Inc.
  Fairfield, IA
• 10/2025 → Present
  Cambridge Investment Research Advisors, Inc.
  Fairfield, IA

Previous Registrations

• 2023-08-23 → 2025-10-22
  Commonwealth Financial Network
  Asheville, NC
  Waltham, MA
• 2009-04-03 → 2023-08-28
  Lpl Financial Llc
  Asheville, NC
  Asheville, NC
  Candler, NC
• 2007-05-15 → 2009-05-20
  Harbor Light Securities, Llc
  Asheville, NC
  Tampa, FL
• 2006-10-02 → 2007-05-15
  Lpl Financial Llc
  Asheville, NC
• 2005-08-03 → 2006-08-23
  A. G. Edwards & Sons, Inc.
  Asheville, NC
  Asheville, NC

Other Businesses

1) PARAGON FINANCIAL LLC, 79 Woodfin Pl, Suite 201, Asheville NC 28801, United States, START DATE 10/2025, Agent, Insurance/Benefits/Human Resources, NIR, 1 HR/MO, 1 HR/MO TRADING 2) PARAGON FINANCIAL LLC, 79 Woodfin Pl, Suite 201, Asheville NC 28801, United States, START DATE 10/2025, Co-Trustee of our 401K plan, Accounting/Bookkeeping/Payroll Services, NIR, 2 HR/MO, 2 HR/MO TRADING 3) THE FRANKLIN SCHOOL OF INNOVATION, 61 Innovation Drive, Asheville NC 28806, United States, START DATE 10/2025, Board Member - Treasurer, Board Member- Treasurer for local Charter School, NIR, 5 HR/MO, 5 HR/MO TRADING 4) PARAGON FINANCIAL LLC, 79 Woodfin Pl, Suite 201, Asheville NC 28801, United States, START DATE 09/2006, Owner, DBA Name, NIR, 40 HR/MO, 40 HR/MO TRADING 5) CIRA, 1776 Pleasant Plain Road, Fairfield IA 52556, United States, 10/24/2025, Investment Advisor Representative, CIRA Affiliation, INV REL, 160 HR/MO - 120 HR/MO TRADING

Exams

• S66 Uniform Combined State Law Examination
  2005-08-01
• S63 Uniform Securities Agent State Law Examination
  1999-12-14

Designations

• Certified Financial Planner

Other Names

• Kelly Patricia Mullin
• Kelly Patricia Mullin