Paul D. 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.
Paul David Mueller was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 2006. Paul had worked at 4 firms and has passed the Series 66, SIE 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
December 5, 2014 - June 13, 2018
AVANTAX ADVISORY SERVICES
December 4, 2014 - June 12, 2018
AVANTAX INVESTMENT SERVICES, INC.
August 16, 2011 - December 4, 2013
CENTAURUS FINANCIAL, INC.
August 11, 2011 - December 3, 2013
CENTAURUS FINANCIAL, INC.
June 25, 2010 - August 15, 2011
AVANTAX ADVISORY SERVICES
June 18, 2010 - August 15, 2011
AVANTAX INVESTMENT SERVICES, INC.
November 30, 2006 - July 18, 2008
THRIVENT INVESTMENT MANAGEMENT INC.
November 14, 2006 - July 18, 2008
THRIVENT INVESTMENT MANAGEMENT INC.
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
AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Contact information
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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