Birmingham, Ala. – Kelley & Mullis Wealth Management, one of the largest independently owned financial services firms in Birminghamm, has been selected out of 1,500 firms across the U.S. for the national Exemplary Office Award by the Supervision and Compliance Departments at SAI for 2017. The award is based on employees’ pleasant responsive manner, involvement in the community and willingness to adapt to new policies and rules quickly and efficiently.
“We are dedicated to providing the highest quality in service and receiving this award is a huge testament of our hard work,“ states Michael Mullis, Managing Partner at Kelley & Mullis Wealth Management. “I am extremely honored for this recognition and very proud of our team.“
The Exemplary Office Award recognizes one advisor office or brand office that is best run from a compliance, audit, surveillance risk and overall paperwork in good order standpoint. Qualified offices are reviewed based on several criteria factors. The awarded firm must be current on email review, correspondence/gift logs/consolidated reports, trade monitor items reviewed timely, outside business activity reviews, compliance communication review items and check blotter. The awarded company must also have no major audit deficiencies, a positive attitude and collaborative spirit and also a low number of surveillance risk items, CRIG findings and consequence management.
For more information please contact Samantha Jarman at Samantha@KCProjects.net or 225-936-4628.
About Kelley & Mullis Wealth Management
Kelley & Mullis Wealth Management firm is an independent wealth management firm located in Birmingham, Alabama. Founded over 35 years ago, Kelley & Mullis takes pride in being an independent firm, allowing them to focus on clients as individuals. With the highest level of quality customer service and the Firm's notable achievements, Kelley & Mullis has been featured in Wealth Magazine, The Wall Street Journal, Birmingham Magazine and Birmingham Business Journal. In addition, Michael Mullis, Managing Partner of Kelley & Mullis Wealth Management, was recognized as one of Barron's “America's Top 1000 Financial Advisors” and “Top 1,200 Financial Advisors”. Additional information is available at www.kmwealthmanagement.com.
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The opinions and forecasts expressed are those of the author, and may not actually come to pass. This information is subject to change at any time, based on market and other conditions and should not be construed as a recommendation of any specific security or investment plan. Past performance does not guarantee future results.
Registered Representatives offer securities through Securities America, Inc. Member FINRA (http://www. finra.org/)/SIPC(www.sipc.org). Investment Advisor Representatives offer financial advice through Securities America Advisors, Inc. Branch address: 2008 Stonegate Trl, Suite112 | Vestavia Hills, AL 35242 Kelley & Mullis Wealth Management and the Securities America companies are separate entities. “The third-party comments displayed are not verified, may not be accurate and are not necessarily representative of our client experience.” Securities America and its representatives do not provide tax or legal advice. Registered for securities in the following states: AL, CO, FL, GA, IN, LA, MI, MO, MS, NC, NH, NM, OH, OK, PA, SC, TN, TX Written by Securities America for distribution by Michael Mullis.
Barron's Magazine Top 1,200 Advisors in America is chosen based upon a proprietary methodology consisting of three major components: assets under management, revenue generated for their firms, and quality of service and regulatory records. Investment performance is not an explicit factor, because audited performance records are not available. Total assets are all assets overseen by the advisors team, including some that are held at other institutions. The rankings are based on data provided by individual advisors and their firms. Advisor data is confirmed via regulatory databases, cross-checks with securities firms, and conversations with individual advisors. No compensation was received from participating firms or advisors. This ranking is not indicative if the advisor's future performance.