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Sean Michael Mueller

CRD# 2477597·Registered 1994 - 2005
Barred: Sean Michael Mueller was barred by the SEC and is not permitted to conduct business in the covered capacity.

Professional Summary

Sean Michael Mueller was a registered financial advisor. Sean was a previously registered financial advisor and started their career in finance 1994 - 2005. Sean had worked at 3 firms and has passed the Series 66, Series 63, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

32 years in the financial services industry

Current & Past Employments

MUELLER CAPITAL MANAGEMENT, LLC·CRD# 116263
RIA
Englewood, CO
September 11, 2000 - December 31, 2005
CAPITAL SUISSE SECURITIES, INC.·CRD# 37531
BD
San Francisco, CA
November 17, 1995 - July 21, 1998
FOSTER JEFFRIES SECURITIES, LLC·CRD# 30144
BD
Westbury, NY
May 16, 1994 - November 27, 1995

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Current Firm

No current employment

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed May 2000About the Series 66 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Jun 1994About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed May 1994About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Nov 1997About the Series 24 exam

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CRS (Client Relationship Summary)

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

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