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Chief Compliance Officer, Senior Vice President · Piedmont Wealth Management

James Q. Mullins

CRD 3074374 · Named on Form ADV at one SEC-registered adviser

At a glance

Piedmont Wealth Management, an SEC-registered wealth manager based in Alexandria, VA with $156 million in regulatory assets, lists James Q. Mullins on its Form ADV as Chief Compliance Officer, Senior Vice President, a control person.

Firms and roles

  • Piedmont Wealth ManagementChief Compliance Officer, Senior Vice PresidentWealth manager · Alexandria, VA · $156M in regulatory assets

AtlasMembers

James’s stakes and control

What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.

Ownership stake at the firm
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Control-person status
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Colleagues named on the same filings

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For James’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.