Leni G. 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.
Leni Gayle Mueller, who also goes by Leni G Mueller, was a registered financial professional .
Leni is a previously registered financial professional and started their career in finance in 1991. Leni had worked at 12 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 21, 2009 - June 28, 2013
BROOKLIGHT PLACE SECURITIES, INC.
November 11, 2003 - May 11, 2009
FORTUNE FINANCIAL SERVICES, INC.
May 21, 2003 - October 31, 2003
BLUE VASE SECURITIES, LLC
January 6, 2003 - October 31, 2003
BLUE VASE SECURITIES, LLC
December 16, 2001 - December 31, 2002
PAN-AMERICAN FINANCIAL ADVISERS
February 10, 2000 - December 16, 2001
AMERICAN CAPITAL CORPORATION
September 28, 1999 - December 17, 1999
IDS LIFE INSURANCE COMPANY
September 28, 1999 - December 17, 1999
AMERIPRISE FINANCIAL SERVICES, LLC
January 4, 1999 - September 21, 1999
AMERICAN CAPITAL CORPORATION
January 17, 1997 - December 31, 1998
SIGMA FINANCIAL CORPORATION
July 5, 1995 - November 22, 1996
SUNAMERICA SECURITIES, INC.
August 25, 1992 - July 11, 1995
MONEY CONCEPTS CAPITAL CORP
July 5, 1991 - July 8, 1992
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
July 5, 1991 - July 8, 1992
EQUITABLE ADVISORS, 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
Current Firm
BROOKLIGHT PLACE SECURITIES, INC.
CRD#: 15764 / SEC#: 801-61232, 8-32673
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRAC ENTERPRISES LLC | SHAREHOLDER | |
| BROKERS ALLIANCE, INC. | SHAREHOLDER | |
| TRUHLAR, CHARLES ANTHONY | OWNER OF SHAREHOLDER, PRESIDENT, CHIEF COMPLIANCE OFFICER | 4533534 |
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.
