Sally D. Mueller

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CRD#: 2765978

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.

Sally Delia Mueller, who also goes by Sally D Cook, Sally Delia Cook, Sarah Winter Cook, Sally Cook Mueller, Sarah Delia Winter, was a registered financial professional .

Sally is a previously registered financial professional and started their career in finance in 1996. Sally had worked at 10 firms and has passed the Series 66, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Sally D Cook | Sally Delia Cook | Sarah Winter Cook | Sally Cook Mueller | Sarah Delia Winter

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®

CRD#: 10299

GREENWOOD VILLAGE, CO

Past

September 19, 1996 - March 20, 2003

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

September 19, 1996 - March 20, 2003

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

BARKER WEALTH MANAGEMENT, LLC

BARKER FINANCIAL LLC | BARKER WEALTH MANAGEMENT, LLC

CRD#: 226768 / SEC#: 801-120753

RIA

Registered Investment Advisory firm - (4/9/2021 Approved)

Oregon

Registered Investment Advisory firm - (6/16/2021 Terminated)

Washington

Registered Investment Advisory firm - (5/21/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/6/2003

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/8/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/18/1996

General Securities Representative Examination

Current Firm

BARKER WEALTH MANAGEMENT, LLC

BARKER FINANCIAL LLC | BARKER WEALTH MANAGEMENT, LLC

CRD#: 226768 / SEC#: 801-120753

RIA

Registered Investment Advisory firm - (4/9/2021 Approved)

Oregon

Registered Investment Advisory firm - (6/16/2021 Terminated)

Washington

Registered Investment Advisory firm - (5/21/2021 Terminated)

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Contact information

Main Address

2005 Se192nd Avenue Suite 200, Camas, WA 98607

Mailing Address

111 Sw 5th Avenue Suite 3150, Portland, OR 97204

Phone number

(503) 616-8680

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BARKER WEALTH MANAGEMENT FORM ADV PART 2A (2/11/2025)

Regulatory assets under management

Total Number of Accounts	265
AUM (Assets Under Management)	$ 195,270,143

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.

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Advisor Monitoring

Firm Stability Insights

Sally D. Mueller

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

WEALTH ADVISORS, LLC

OSAIC WEALTH, INC.

1ST GLOBAL ADVISORS INC

1ST GLOBAL CAPITAL CORP.

GENEOS WEALTH MANAGEMENT, INC.

GENEOS WEALTH MANAGEMENT, INC.

CETERA ADVISORS LLC

CETERA ADVISORS LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

BARKER WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/6/2003

Series 63

Date: 10/8/1996

Series 7

Date: 9/18/1996

Current Firm

BARKER WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BARKER WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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