Carl E. Mueller
Professional summary
Carl Edward Mueller is a registered financial advisor currently at ONE CAPITAL MANAGEMENT, LLC located in Hiawatha, Kansas.
Carl is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Carl has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Carl Edward Mueller's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 24, 2021 - Present
ONE CAPITAL MANAGEMENT, LLC
Office #1: 101 Shawnee Street, Hiawatha, KS 66434May 30, 2003 - May 21, 2021
NATIONS FINANCIAL GROUP, INC.
May 8, 2003 - May 21, 2021
NATIONS FINANCIAL GROUP, INC.
January 1, 2002 - May 29, 2003
RBC CAPITAL MARKETS, LLC
January 14, 2000 - May 29, 2003
RBC CAPITAL MARKETS, LLC
June 16, 1994 - January 28, 2000
PIPER SANDLER & CO.
June 30, 1988 - June 2, 1994
WADDELL & REED
Primary Firm SEC Registration
ONE CAPITAL MANAGEMENT, LLC
CRD#: 114861 / SEC#: 801-60483
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(12/7/2022)
Exams
Current Firm
ONE CAPITAL MANAGEMENT, LLC
CRD#: 114861 / SEC#: 801-60483
Contact information
SEC notice filing (34 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 8,302 |
| AUM (Assets Under Management) | $ 7,002,823,758 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/17/2025 | ||
| 04/16/2024 | ||
| 02/12/2023 |
Red Flags
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