Brock E. Muller

E2 FINANCIAL SERVICES

Southgate, KY

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CRD#: 4260667

Professional summary

Brock Edward Muller is a registered financial advisor currently at E2 FINANCIAL SERVICES, LLC located in Southgate, Kentucky.

Brock is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Brock has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7, Series 24, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Sole proprietor insurance agent; investment-related; 108 Fort Beech Drive, Southgate, KY; fixed insurance sales; 2-3 hours per month during trading hours; sales of insurance products.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brock Edward Muller's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

April 1, 2019 - Present

E2 FINANCIAL SERVICES, LLC

RIA

CRD#: 301193

Southgate, KY

Past

October 31, 2017 - February 1, 2019

EDWARD JONES

RIA

CRD#: 250

FLORENCE, KY

Past

October 20, 2017 - February 1, 2019

EDWARD JONES

CRD#: 250

FLORENCE, KY

Past

February 19, 2014 - October 23, 2017

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

MAYSVILLE, KY

Past

April 4, 2013 - January 13, 2014

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

CINCINNATI, OH

Past

December 15, 2005 - January 13, 2014

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

CINCINNATI, OH

Past

January 3, 2001 - December 21, 2005

ADVEST, INC.

CRD#: 10

HARTFORD, CT

Past

October 4, 2000 - March 21, 2001

FIFTH THIRD SECURITIES, INC.

CRD#: 628

CINCINNATI, OH

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Kentucky
(6/6/2019)

IAR

Ohio
(4/1/2019)

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: 10/30/2017

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/20/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 6/16/2006

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 10/3/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/21/2006

General Securities Principal Examination

Principal/Supervisory Exam

Series 10

Date: 7/10/2002

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 9/4/2001

General Securities Sales Supervisor - Options Module Examination

Current Firm

E2 FINANCIAL SERVICES, LLC

CRD#: 301193 / SEC#:

Idaho

Registered Investment Advisory firm - (12/9/2021 Terminated)

Kentucky

Registered Investment Advisory firm - (6/6/2019 Approved)

Ohio

Registered Investment Advisory firm - (4/1/2019 Approved)

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).

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Contact information

Main Address

Southgate, KY

Mailing Address

Phone number

(859) 888-3250

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	56
AUM (Assets Under Management)	$ 6,722,581

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

Brock E. Muller

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brock Edward Muller's CRS (Customer Relationship Summary).

Certified licenses

Experience

EDWARD JONES

EDWARD JONES

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

ADVEST, INC.

FIFTH THIRD SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/30/2017

Series 63

Date: 10/20/2000

SIE

Date: 10/1/2018

Series 31

Date: 6/16/2006

Series 7

Date: 10/3/2000

Series 24

Date: 12/21/2006

Series 10

Date: 7/10/2002

Series 9

Date: 9/4/2001

Current Firm

E2 FINANCIAL SERVICES, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

E2 FINANCIAL SERVICES, LLC

TRUST BUT VERIFY

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