Victoria L. Mueller
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Victoria Lynn Mueller, who also goes by VIcki Lynn Banz, Victoria Lynn Banz, Vicki Isom, Victoria L Isom, Victoria Lynn Isom, Vicki Lynn Mueller, was a registered financial professional .
Victoria is a previously registered financial professional and started their career in finance in 1984. Victoria had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 29, 2015 - April 10, 2019
CHARTER RESEARCH & INVESTMENT GROUP INC
August 3, 1999 - March 27, 2015
CHARLES SCHWAB & CO., INC.
September 3, 1993 - March 27, 2015
CHARLES SCHWAB & CO., INC.
November 26, 1990 - April 30, 1993
FIDELITY BROKERAGE SERVICES LLC
August 3, 1988 - July 13, 1989
LEGG MASON WOOD WALKER, INCORPORATED
June 23, 1987 - August 20, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 12, 1984 - September 16, 1985
LEHMAN BROTHERS INC.
May 24, 1984 - November 13, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
CHARTER RESEARCH & INVESTMENT GROUP INC
CRD#: 106452 / SEC#: 801-37458
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 8
Date: 6/7/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CHARTER RESEARCH & INVESTMENT GROUP INC
CRD#: 106452 / SEC#: 801-37458
Contact information
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 360 |
| AUM (Assets Under Management) | $ 254,434,269 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
