Kenneth G. Mueller
Professional summary
Kenneth George Mueller was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Kenneth George Mueller, who also goes by Ken Mueller, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1982. Kenneth had worked at 10 firms and has passed the Series 65, Series 63, Series 5, Series 7, Series 53, Series 28, Series 24, Series 8 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 27, 2006 - December 31, 2007
ASCENSION FINANCIAL SOLUTIONS, INC.
May 21, 2003 - February 22, 2006
FIRST ADVANTAGE SECURITIES CORPORATION
September 13, 2001 - June 6, 2002
BERTRAM SAMUEL SECURITIES, LLC
February 23, 1999 - December 31, 2000
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.
August 11, 1995 - February 11, 1999
NEXT ADVISORS INC.
February 7, 1995 - July 31, 1995
VISTA FINANCIAL SERVICES CORPORATION
July 12, 1990 - November 12, 1994
AMERIPRISE ADVISOR SERVICES, INC.
June 26, 1989 - July 13, 1990
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
June 26, 1989 - July 13, 1990
PRUCO SECURITIES, LLC.
January 26, 1982 - September 21, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 3/2/1982
Interest Rate Options ExaminationSeries 28
Date: 11/5/2001
Introducing Broker/Dealer Financial Operations Principal ExaminationSeries 8
Date: 4/1/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ASCENSION FINANCIAL SOLUTIONS, INC.
CRD#: 40670 / SEC#: , 8-49132
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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