Oliver E. 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.
Oliver Ernst Mueller was a registered financial professional .
Oliver is a previously registered financial professional and started their career in finance in 1993. Oliver had worked at 7 firms and has passed the Series 65, Series 63, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 28, 2016 - November 29, 2017
JUNO CAPITAL MANAGEMENT LLC
December 21, 2009 - September 30, 2010
GROSS DOMESTIC PRODUCT, INC
April 16, 2009 - December 23, 2009
EP WEALTH ADVISORS
November 14, 2008 - December 23, 2009
SECURITIES SERVICE NETWORK, LLC
October 23, 2006 - November 20, 2008
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
July 8, 1997 - October 5, 2005
CHARLES SCHWAB & CO., INC.
February 23, 1994 - October 5, 2005
CHARLES SCHWAB & CO., INC.
November 24, 1993 - February 9, 1994
CITIGROUP GLOBAL MARKETS INC.
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 8
Date: 7/26/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
JUNO CAPITAL MANAGEMENT LLC
CRD#: 283076 / SEC#:
Contact information
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.
