Richard J. Muller
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.
Richard Johnson Muller JR, who also goes by Chip Muller, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1988. Richard had worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 14, 2016 - January 2, 2024
TRUIST ADVISORY SERVICES, INC.
May 18, 2010 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
May 18, 2010 - January 2, 2024
TRUIST INVESTMENT SERVICES, INC.
September 3, 2008 - May 14, 2010
FTB ADVISORS, INC.
March 11, 2004 - May 14, 2010
FIRST HORIZON ADVISORS, INC.
June 28, 2001 - May 14, 2010
FIRST HORIZON ADVISORS, INC.
April 12, 2001 - July 13, 2001
MORGAN KEEGAN & COMPANY, LLC
October 6, 1999 - April 12, 2001
REGIONS INVESTMENT COMPANY, INC.
December 12, 1997 - May 7, 1998
MUTUAL SERVICE CORPORATION
May 4, 1993 - December 18, 1995
NATIONAL PLANNING CORPORATION
April 24, 1992 - December 31, 1992
TRANSAMERICA FINANCIAL ADVISORS, INC.
April 11, 1988 - May 7, 1992
NYLIFE SECURITIES LLC
Primary Firm SEC Registration
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
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
Current Firm
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 124,363 |
| AUM (Assets Under Management) | $ 67,736,740,585 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/24/2025 | ||
| 03/28/2024 | ||
| 04/26/2023 |
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.
