Scott A. 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.
Scott Aaron Mueller was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1998. Scott had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 31, 2022 - February 10, 2026
PRINCIPAL ADVISED SERVICES
June 5, 2017 - October 31, 2022
PRINCIPAL SECURITIES, INC.
June 5, 2017 - February 10, 2026
PRINCIPAL SECURITIES, INC.
April 26, 2017 - May 25, 2017
EMPOWER ADVISORY GROUP, LLC
May 19, 2014 - May 20, 2017
EMPOWER FINANCIAL SERVICES, INC.
June 7, 2002 - May 28, 2003
TD AMERITRADE, INC.
March 30, 1999 - April 5, 2001
TD AMERITRADE, INC.
August 6, 1998 - October 23, 1998
LLOYD WADE SECURITIES INC.
Primary Firm SEC Registration
PRINCIPAL ADVISED SERVICES
CRD#: 297324 / SEC#: 801-114432
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
PRINCIPAL ADVISED SERVICES
CRD#: 297324 / SEC#: 801-114432
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 16,940 |
| AUM (Assets Under Management) | $ 887,316,440 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/20/2023 | ||
| 09/22/2023 |
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.
