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Robert Michael Mueller

CRD# 5350312·Registered 2007 - 2025
Previously Registered: Being a previously registered professional could mean that Robert 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.

Professional Summary

Robert Michael Mueller was a registered financial advisor. Robert was a previously registered financial professional and started their career in finance 2007 - 2025. Robert had worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

19 years in the financial services industry

Current & Past Employments

LPL ENTERPRISE, LLC·CRD# 8733
RIA
St. Louis Park, MN
November 14, 2024 - October 2, 2025
LPL ENTERPRISE, LLC·CRD# 8733
BD
St. Louis Park, MN
November 14, 2024 - October 2, 2025
PRUCO SECURITIES, LLC.·CRD# 5685
RIA
St. Louis Park, MN
April 15, 2021 - November 14, 2024
PRUCO SECURITIES, LLC.·CRD# 5685
BD
St. Louis Park, MN
April 15, 2021 - November 14, 2024
THRIVENT INVESTMENT MANAGEMENT INC.·CRD# 18387
RIA
Staples, MN
December 19, 2013 - April 16, 2021
THRIVENT INVESTMENT MANAGEMENT INC.·CRD# 18387
BD
Staples, MN
August 13, 2007 - April 16, 2021

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Current Firm

LE
LPL ENTERPRISE, LLC

APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION

CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)
California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)
Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)
Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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).

Contact Information

Main Address

1055 Lpl Way, Fort Mill, SC 29715

Mailing Address

1055 Lpl Way, Fort Mill, SC 29715

Phone Number

(704) 733-3300

Established

Delaware since 05/25/2023

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Large

# of Employees

5,215

SEC notice filing (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

A58 LPLE (10/8/2026)

Direct owners and executive officers

NamePositionCRD#
LPL HOLDINGS, INC.MANAGING MEMBER—
EVANGELIOU, KIRIAKOS ANDREASSVP, CHIEF COMPLIANCE OFFICER2496177
HORAN-ADAMS, KIRBY LEPAKCHIEF EXECUTIVE OFFICER. PRESIDENT5097259
MALFITANO, STEVEN THOMASPRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP3178848
MORNINGSTAR, MATTHEW EDWINCHIEF LEGAL OFFICER2510742

Regulatory Assets Under Management

Total Number of Accounts

139,192

AUM (Assets Under Management)

$24,939,385,373

Disclosures

Regulatory Event

3

Accountant Surprise Examination Report

Filing DateForm ADV-E CoverForm ADV-E Report
08/28/2026Cover PageReport
06/25/2025Cover PageReport

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

1.08/22/2024:LAKEWOOD HEALTH SYSTEM; Non profit board member; Non inv related; 3 hr/mo non trading; 0 hr/mo trading; 07/15/2015 2. 08/22/2024; LECLAIR CORPORATION; non variable insr. ; YES inv related; 5 hrs/mo non trading; 5 hrs/mo trading; 02/20/2017 3. 08/22/2024; TRUE NORTH FINANCIAL; DBA for LPL financial: YES inv related; 80 hr/mo non trading; 80 hrs/mo trading; 03/10/2023 LAKEWOOD HEALTH SYSTEM DISTRICT GOVERNING BOARD POSITION: General Board Member NATURE: The board is the "district governing board" of Lakewood Health System, of Staples, MN. Lakewood Health System is a non-profit Entity which encompasses a full-service Hospital, Clinics, Nursing Home, and Assisted Living facilities, that serves the broader area of Staples, MN. INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 07/15/2015 ADDRESS: 49725 County 83, Staples MN 56479 DESCRIPTION: The Board has the responsibilities to ensure that the 501C3 health organization is fulfilling its obligations as per the affiliation agreement and lease which stays in effect as long as there is indebtedness under the hospital district. The Board is also responsible to approve any real estate transaction, approve any issuance of debt, and ensure compliance with all public hearing obligations in regard to debt issuance. The hopsital district board also has the authority to levy a tax to meet bond or operational financial obligations. The Board is also responsible for hiring and retaining an effective CEO. Board members are also expected to pursue board education and development to understand how the health care system works and the impact of changing market and customer needs have on the operations of the health system. Continuing education and assessments are key to the development as oa board member. Finally, the Board is responsible for advocacy, which is an increasingly integral part of the boards overallresposibility, and consists of philanthropy and support of the Lakewood Health Foundation, along with reinforcing the organizations role in the community and to truly understand and meet the community needs. LECLAIR CORPORATION POSITION: Medicare Insurance Product Sales Representative NATURE: Medicare Insurance Product sales INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 02/20/2017 ADDRESS: 209 4th St NE, Staples MN 56479, United States DESCRIPTION: Medicare Insurance Product Sales. POWER OF ATTORNEY FOR MY MOTHER. POSITION: P.O.A. NATURE: Fiduciary Appointment (e.g., Trustee, Executor, POA) INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2018 ADDRESS: 26193 130th St, Staples MN 56479, United States DESCRIPTION: typical P.O.A. activities as needed. TRUE NORTH FINANCIAL GROUP POSITION: Financial Advisor NATURE: Service and sales of investment and insurance products INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 80 START DATE: 03/10/2023 ADDRESS: 209 4th Street North East, Staples MN 56479, United States DESCRIPTION: Sales and service of insurance and investment products

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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".
LE
LPL ENTERPRISE, LLC

APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION

CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)
California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)
Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)
Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

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

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Aug 2007About the Series 66 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Aug 2007About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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