Stacey L. Mueller
Professional summary
Stacey Lynn Mueller, who also goes by Stacey Lynn Irvin, Stacey Lynn Wingate, is a registered financial professional currently at CETERA WEALTH SERVICES, LLC located in El Segundo, California.
Stacey is registered as a RR (Registered Representative) and started their career in finance in 1999. Stacey has worked at 14 firms and has passed the Series 63, Series 65, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stacey Lynn Mueller's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 13, 2022 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245June 7, 2021 - November 19, 2021
LPL FINANCIAL LLC
November 11, 2020 - May 28, 2021
NORTHERN LIGHTS DISTRIBUTORS, LLC
September 29, 2017 - April 9, 2018
TCADVISORS NETWORK INC.
March 21, 2016 - March 22, 2017
EMPOWER FINANCIAL SERVICES, INC.
November 5, 2013 - February 29, 2016
ICON DISTRIBUTORS, INC.
October 16, 2013 - February 29, 2016
ICON ADVISERS, INC.
March 14, 2012 - October 16, 2013
WEATHERSTONE CAPITAL MANAGEMENT
February 29, 2008 - March 17, 2011
TRANSAMERICA CAPITAL, LLC
December 12, 2006 - March 8, 2008
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
May 10, 2004 - July 5, 2006
ASSOCIATED SECURITIES CORP.
September 24, 2002 - March 11, 2003
ARES WEALTH MANAGEMENT SOLUTIONS, LLC
October 20, 2000 - September 9, 2002
INVESCO DISTRIBUTORS, INC.
September 12, 2000 - October 9, 2000
TRANSAMERICA CAPITAL, LLC
November 19, 1999 - August 17, 2000
NATIONAL PLANNING CORPORATION
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
FINRA
Current Firm
CETERA WEALTH SERVICES, LLC
CRD#: 13572 / SEC#: 801-47342, 8-29577
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| BURKOTT, DANIEL PAUL | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 4710068 |
| COAXUM, KOFI SULE | VICE PRESIDENT | 5150018 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| GOOLEY, THOMAS ANDREW | MANAGER | 4526760 |
| HALLORAN, THOMAS WILLIAM | VICE PRESIDENT | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | CHIEF EXECUTIVE OFFICER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 5059176 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | PRESIDENT AND MANAGER | 2272183 |
| STONE, TIMOTHY PATRICK | VICE PRESIDENT | 3038963 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WATTS, ANDREW DAVID | VICE PRESIDENT | 4780880 |
Regulatory assets under management
| Total Number of Accounts | 192,956 |
| AUM (Assets Under Management) | $ 46,651,447,975 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 2 |
| Arbitration | 15 |
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.
