Thomas J. Mueger
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.
Thomas James Mueger was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1987. Thomas had worked at 10 firms and has passed the Series 63, SIE, Series 55, Series 25 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 30, 2015 - September 29, 2017
GLOBAL DIRECT EQUITIES, LLC
July 26, 2012 - July 23, 2015
DME SECURITIES, LLC
March 13, 2012 - February 20, 2013
GLOBAL-AMERICAN INVESTMENTS, INC.
July 22, 2010 - November 1, 2011
MONTECITO ADVISORS, INC.
July 19, 2010 - August 28, 2012
MARQUIS HOLDINGS, INC.
January 18, 2006 - November 3, 2006
LABRANCHE FINANCIAL SERVICES, LLC
January 3, 2006 - July 2, 2010
BAY CREST PARTNERS, LLC
May 27, 2004 - December 7, 2005
LABRANCHE FINANCIAL SERVICES, LLC
March 22, 2004 - December 20, 2005
BASELINE SECURITIES, INC.
October 8, 1999 - February 20, 2001
KV EXECUTION SERVICES LLC
January 21, 1987 - October 12, 1999
KALB, VOORHIS & CO., LLC
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 55
Date: 7/5/2007
Limited Representative-Equity Trader ExamSeries 25
Date: 3/3/2005
NYSE Trading Assistant ExaminationCurrent Firm
GLOBAL DIRECT EQUITIES, LLC
CRD#: 124514 / SEC#: , 8-65689
Contact information
Documents
Red Flags
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