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Michael Mueller

Some features on this profile are disabled
CRD#: 1837655
MM

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.

Michael Mueller was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1995. Michael had worked at 7 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

September 10, 2018 - April 30, 2019

CLEARPOOL EXECUTION SERVICES, LLC

BD
CRD#: 168490
NEW YORK, NY
Past

February 21, 2018 - March 20, 2018

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
PARAMUS, NJ
Past

March 12, 2016 - June 13, 2017

ARXIS SECURITIES LLC

BD
CRD#: 172506
NEW YORK, NY
Past

July 2, 2012 - October 15, 2014

VIRTU AMERICAS LLC

BD
CRD#: 149823
JERSEY CITY, NJ
Past

January 20, 2005 - July 2, 2012

KNIGHT CAPITAL AMERICAS, L.P.

BD
CRD#: 38599
JERSEY CITY, NJ
Past

June 2, 1997 - December 31, 2010

KNIGHT CAPITAL MARKETS LLC

BD
CRD#: 38379
JERSEY CITY, NJ
Past

January 4, 1996 - June 12, 1997

KNIGHT CAPITAL AMERICAS, L.P.

BD
CRD#: 38599
JERSEY CITY, NJ
Past

April 18, 1995 - January 17, 1996

KNIGHT CAPITAL MARKETS LLC

BD
CRD#: 38379
PURCHASE, NY
Past

March 9, 1995 - April 18, 1995

TRIMARK SECURITIES, INC.

BD
CRD#: 17232
WHITE PLAINS, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/8/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 12/16/1999
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 3/8/1995
General Securities Representative Examination

Current Firm

CE
CLEARPOOL EXECUTION SERVICES, LLC
CLEARPOOL EXECUTION SERVICES, LLC

CRD#: 168490 / SEC#: , 8-69313

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
17 State Street 38th Floor, New York, NY, 10004
Mailing Address
17 State Street 38th Floor, New York, NY, 10004
Phone number
(212) 531-8500
Established
New York since 05/07/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (27 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
BMO FINANCIAL CORP.SHAREHOLDER
BRICKLEY, THOMAS JOHNFINOP3028843
FORLENZA, MICHAELPRESIDENT5886049
WALISEVER, ARICHIEF COMPLIANCE OFFICER4425793
WOODWARD, JOEL EDWARDCHIEF FINANCIAL OFFICER5467904

Disclosures

Regulatory Event19

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.

Company Information

CLEARPOOL EXECUTION SERVICES, LLC

CRD#: 168490

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