TM
Thomas A. Mueller
Some features on this profile are disabled
CRD#: 2979034
TM
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.
Thomas Allen Mueller, who also goes by Thomas Allan Mueller, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1998. Thomas had worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Thomas Allan Mueller
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.
1) FOCUS FINANCIAL INSURANCE AGENCY POSITION: sales / Referral NATURE: Insurance Sales INVESTMENT RELATED: Yes NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 07/02/2015 ADDRESS: 800 IND'L DR S, #206, SAUK RAPIDS MN 56379 DESCRIPTION: Not used yet. used for purpose of solicitation and sale of Insurance products including life, disability and LTC. 2) THOMAS MUELLER, SOLE PROPRIETOR POSITION: fixed annuity sales NATURE: sole proprietor INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2007 ADDRESS: 800 IND'L DR S, #206, SAUK RAPIDS MN 56379 DESCRIPTION: The recommendation of fixed annuities if appropriate for client. When used, this is direct between myself and Jackson National. 3) FOCUS FINANCIAL NETWORK INC POSITION: Investment Advisor Representative NATURE: Registered Investment Advisor INVESTMENT RELATED: Yes NUMBER OF HOURS: 170 SECURITIES TRADING HOURS: 150 START DATE: 01/03/2017 ADDRESS: 800 South Industrial Drive, Suite 206, Sauk Rapids MN 56379, United States; DESCRIPTION: Fee-based advisory services and finncial planning 4) THOMASA MUELLER CONSULTING POSITION: Registered Assitant & Consultant NATURE: SOLE PROPRIETORSHIP. Acting as a consultant for Wochnick Financial and their clients, who were formerly my clients under my previous Focus Financial office. My practice was sold to Wochnick Financial. As of 02/08/22, I no longer had any clients, and have now become a Registered Assistant under Wochnick Financial. In that capacity, I have two primary functions: 1) consultant on my previous clients, should any questions arise after the transition, 2) Income & tax planning consultant for existing and potentially new clients. INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 35 START DATE: 02/08/2022 ADDRESS: 1802 PLAINVIEW DRIVE, SAINT CLOUD MN 56303, United States DESCRIPTION: Acting as a consultant for Wochnick Financial and their clients, who were formerly my clients under my previous Focus Financial office. My practice was sold to Wochnick Financial. As of 02/08/22, I no longer had any clients, and have now become a Registered Assistant under Wochnick Financial. In that capacity, I have two primary functions: 1) consultant on my previous clients, should any questions arise after the transition, 2) Income & tax planning consultant for existing and potentially new clients.
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®
NoneExperience
Past
October 3, 2016 - March 31, 2022
FOCUS FINANCIAL
RIA
CRD#: 116140
Sauk Rapids, MN
Past
July 2, 2015 - April 4, 2022
OSAIC WEALTH, INC.
BD
CRD#: 23131
SAUK RAPIDS, MN
Past
January 31, 2014 - July 2, 2015
FINTEGRA, LLC
RIA
CRD#: 16741
SAUK RAPIDS, MN
Past
July 2, 2001 - July 2, 2015
FINTEGRA, LLC
BD
CRD#: 16741
SAUK RAPIDS, MN
Past
December 22, 1999 - July 20, 2001
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
ST. CLOUD, MN
Past
September 23, 1998 - December 10, 1999
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
SAINT PAUL, MN
Past
January 1, 1998 - April 16, 1998
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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".
FOCUS FINANCIAL
AFC FINANCIAL ADVISORY GROUP | MOSER & HEIER FINANCIAL SOLUTIONS | MERTZ WEALTH STRATEGIES | KMF ADVISORS | FOCUS FINANCIAL NETWORK, INC. | FOCUS FINANCIAL | FDI INCORPORATED/FINANCIAL DESIGNS | BROOKLANDS
CRD#: 116140 / SEC#: 801-71117
RIA
Registered Investment Advisory firm - (3/2/2010 Approved)Arizona
Registered Investment Advisory firm - (3/5/2010 Terminated)California
Registered Investment Advisory firm - (3/8/2010 Terminated)Colorado
Registered Investment Advisory firm - (3/12/2010 Terminated)Florida
Registered Investment Advisory firm - (3/5/2010 Terminated)Georgia
Registered Investment Advisory firm - (3/5/2010 Terminated)Illinois
Registered Investment Advisory firm - (3/2/2010 Terminated)Indiana
Registered Investment Advisory firm - (3/9/2010 Terminated)Iowa
Registered Investment Advisory firm - (3/5/2010 Terminated)Massachusetts
Registered Investment Advisory firm - (3/24/2010 Terminated)Minnesota
Registered Investment Advisory firm - (3/8/2010 Terminated)Missouri
Registered Investment Advisory firm - (3/5/2010 Terminated)Nebraska
Registered Investment Advisory firm - (3/12/2010 Terminated)New Jersey
Registered Investment Advisory firm - (3/5/2010 Terminated)New York
Registered Investment Advisory firm - (3/5/2010 Terminated)North Carolina
Registered Investment Advisory firm - (3/5/2010 Terminated)North Dakota
Registered Investment Advisory firm - (3/5/2010 Terminated)Ohio
Registered Investment Advisory firm - (3/5/2010 Terminated)Oregon
Registered Investment Advisory firm - (3/5/2010 Terminated)Pennsylvania
Registered Investment Advisory firm - (3/31/2010 Terminated)South Dakota
Registered Investment Advisory firm - (3/5/2010 Terminated)Texas
Registered Investment Advisory firm - (3/5/2010 Terminated)Washington
Registered Investment Advisory firm - (3/5/2010 Terminated)Wisconsin
Registered Investment Advisory firm - (3/5/2010 Terminated)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.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
FOCUS FINANCIAL
AFC FINANCIAL ADVISORY GROUP | MOSER & HEIER FINANCIAL SOLUTIONS | MERTZ WEALTH STRATEGIES | KMF ADVISORS | FOCUS FINANCIAL NETWORK, INC. | FOCUS FINANCIAL | FDI INCORPORATED/FINANCIAL DESIGNS | BROOKLANDS
CRD#: 116140 / SEC#: 801-71117
RIA
Registered Investment Advisory firm - (3/2/2010 Approved)Arizona
Registered Investment Advisory firm - (3/5/2010 Terminated)California
Registered Investment Advisory firm - (3/8/2010 Terminated)Colorado
Registered Investment Advisory firm - (3/12/2010 Terminated)Florida
Registered Investment Advisory firm - (3/5/2010 Terminated)Georgia
Registered Investment Advisory firm - (3/5/2010 Terminated)Illinois
Registered Investment Advisory firm - (3/2/2010 Terminated)Indiana
Registered Investment Advisory firm - (3/9/2010 Terminated)Iowa
Registered Investment Advisory firm - (3/5/2010 Terminated)Massachusetts
Registered Investment Advisory firm - (3/24/2010 Terminated)Minnesota
Registered Investment Advisory firm - (3/8/2010 Terminated)Missouri
Registered Investment Advisory firm - (3/5/2010 Terminated)Nebraska
Registered Investment Advisory firm - (3/12/2010 Terminated)New Jersey
Registered Investment Advisory firm - (3/5/2010 Terminated)New York
Registered Investment Advisory firm - (3/5/2010 Terminated)North Carolina
Registered Investment Advisory firm - (3/5/2010 Terminated)North Dakota
Registered Investment Advisory firm - (3/5/2010 Terminated)Ohio
Registered Investment Advisory firm - (3/5/2010 Terminated)Oregon
Registered Investment Advisory firm - (3/5/2010 Terminated)Pennsylvania
Registered Investment Advisory firm - (3/31/2010 Terminated)South Dakota
Registered Investment Advisory firm - (3/5/2010 Terminated)Texas
Registered Investment Advisory firm - (3/5/2010 Terminated)Washington
Registered Investment Advisory firm - (3/5/2010 Terminated)Wisconsin
Registered Investment Advisory firm - (3/5/2010 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1300 Godward Street Ne Suite 5500, Minneapolis, MN 55413
Mailing Address
Phone number
(651) 631-8166
Established
Firm type
Fiscal year end
# of Employees
172
SEC notice filing (46 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 26,057 |
| AUM (Assets Under Management) | $ 6,262,663,508 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/16/2025 |
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.
