MM
Michael J. Mueller
VALLEY WEALTH STRATEGIES
ELMA, WA 98541
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CRD#: 4663329
MM
Professional summary
Michael John Mueller, who also goes by Michael J Mueller, is a registered financial advisor currently at VALLEY WEALTH STRATEGIES, LLC located in Elma, Washington and LPL FINANCIAL LLC located in Elma, Washington.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Michael has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael J 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. 11/29/2017 - Mueller Insurance & Financial Services, Inc - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - President - Start Date 04/2017 - 60 Hours During Trading
2. 11/29/2017 - No Business Name - Investment Related - Non-Variable Insurance - Agent - Life, Disability, Health, LTC, Annuities.
3. Michael Mueller is dually-registered with Valley Wealth Strategies, LLC and LPL Financial LLC ("LPL"). Michael Mueller has served as an investment advisor representative for Valley Wealth Strategies, LLC and a registered representative with LPL since 01/2019. Business is conducted from Elma, WA. Approximately 90% of Michael Mueller's time is for services as an investment advisor representative and the balance as a registered representative.
4. 10/23/2018 - No Business Name - Investment Related - Elma, WA 98541 - Real Estate Rental - OWNER/LANDLORD - Started 02/07/2006 - 1 Hour Per Month/0 Hours During Securities Trading.
5. 10/28/2020 - Valley Wealth Strategies, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date: 06/30/2020 - 60 Hours Per Month/60 Hours During Securities Trading - I provide investment advisory services through Valley Wealth Strategies, LLC, an independent investment advisor firm. I started this business activity in 6/2020. I expect to spend approximately 60 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view Michael John Mueller'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®
NoneExperience
Current
July 7, 2020 - Present
VALLEY WEALTH STRATEGIES, LLC
Office #1: 112 West Young Street, Elma, WA 98541RIA
CRD#: 289737
ELMA, WA
Current
November 29, 2017 - Present
LPL FINANCIAL LLC
Office #1: 112 W Young Street, Elma, WA 98541Office #2: 624 Simpson Ave, Hoquiam, WA 98550Office #3: 404 W Pine St Ste 6, Lodi, CA 95240RIA
BD
CRD#: 6413
Elma, WA
Past
July 16, 2012 - November 29, 2017
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
ELMA, WA
Past
May 5, 2011 - July 11, 2012
GWN SECURITIES INC.
BD
CRD#: 128929
ELMA, WA
Past
March 25, 2011 - May 11, 2011
NYLIFE SECURITIES LLC
BD
CRD#: 5167
TACOMA, WA
Past
May 29, 2003 - March 9, 2011
PARKLAND SECURITIES, LLC
BD
CRD#: 115368
ELMA, WA
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".
VW
VALLEY WEALTH STRATEGIES, LLC
DRUMMOND & ASSOCIATES | ZUK FINANCIAL GROUP | VWS | VALLEY WEALTH STRATEGIES, LLC
CRD#: 289737 / SEC#: 801-113081
RIA
Registered Investment Advisory firm - (4/27/2018 Approved)California
Registered Investment Advisory firm - (6/1/2018 Terminated)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(11/29/2017)
RR
Arkansas(10/18/2021)
RR
California(3/23/2018)
IAR
California(7/7/2020)
RR
Idaho(11/29/2017)
RR
Oregon(9/24/2019)
RR
Texas(10/28/2020)
RR
Washington(11/29/2017)
IAR
Washington(7/7/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VW
VALLEY WEALTH STRATEGIES, LLC
DRUMMOND & ASSOCIATES | ZUK FINANCIAL GROUP | VWS | VALLEY WEALTH STRATEGIES, LLC
CRD#: 289737 / SEC#: 801-113081
RIA
Registered Investment Advisory firm - (4/27/2018 Approved)California
Registered Investment Advisory firm - (6/1/2018 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
404 W. Pine Street Suite 6, Lodi, CA 95240
Mailing Address
Phone number
(209) 366-1264
Established
Firm type
Fiscal year end
# of Employees
30
SEC notice filing (20 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 8,131 |
| AUM (Assets Under Management) | $ 1,205,186,000 |
Red Flags
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Company Information
VALLEY WEALTH STRATEGIES, LLC
CRD#: 289737Elma, WA 98541TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
