Isaac 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.
Isaac David Mueller, who also goes by Isaac Mueller, was a registered financial professional .
Isaac is a previously registered financial professional and started their career in finance in 2007. Isaac had worked at 4 firms and has passed the Series 66, Series 31 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
August 21, 2012 - December 16, 2013
LEGEND ADVISORY, LLC
August 21, 2012 - December 16, 2013
LEGEND EQUITIES CORPORATION
September 30, 2008 - July 12, 2012
VALIC FINANCIAL ADVISORS, INC.
September 29, 2008 - July 12, 2012
VALIC FINANCIAL ADVISORS, INC.
July 2, 2007 - April 21, 2008
MORGAN STANLEY & CO. LLC
May 31, 2007 - April 21, 2008
MORGAN STANLEY & CO. LLC
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
LEGEND ADVISORY, LLC
CRD#: 104761 / SEC#: 801-13887
Contact information
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.
