RM
Robert M. Mueller
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CRD#: 5350312
RM
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.
Robert Michael Mueller was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2007. Robert had worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
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
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
November 14, 2024 - October 2, 2025
LPL ENTERPRISE, LLC
RIA
CRD#: 8733
ST. LOUIS PARK, MN
Past
November 14, 2024 - October 2, 2025
LPL ENTERPRISE, LLC
BD
CRD#: 8733
ST. LOUIS PARK, MN
Past
April 15, 2021 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
ST. LOUIS PARK, MN
Past
April 15, 2021 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
ST. LOUIS PARK, MN
Past
December 19, 2013 - April 16, 2021
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
STAPLES, MN
Past
August 13, 2007 - April 16, 2021
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
STAPLES, MN
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)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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)
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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
4,650
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORRISON, STEVEN PHILIP | SECRETARY | 4529345 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
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.
