Rudolf J. 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.
Rudolf Johannes Mueller was a registered financial professional .
Rudolf is a previously registered financial professional and started their career in finance in 1982. Rudolf had worked at 6 firms and has passed the Series 63, Series 99TO, Series 52TO, Series 7TO, SIE, Series 1, Series 24, F04 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 15, 2014 - April 30, 2024
TOCQUEVILLE ASSET MANAGEMENT LP
December 4, 2013 - April 30, 2024
TOCQUEVILLE SECURITIES L.P.
February 14, 1994 - December 16, 2013
THE WINCHESTER GROUP, INC.
May 8, 1991 - February 18, 2014
THE WINCHESTER GROUP, INC.
January 26, 1989 - October 1, 1991
THE STAMFORD COMPANY, INC.
April 14, 1982 - January 26, 1989
STAMFORD CAPITAL, STERLING GRACE & CO., INC.
February 17, 1982 - May 11, 1982
VAN BERGEN & CO., INCORPORATED
Primary Firm SEC Registration
TOCQUEVILLE ASSET MANAGEMENT LP
CRD#: 105690 / SEC#: 801-36209
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 4/30/1965
Registered Representative ExaminationF04
Date: 7/14/1980
Financial Principal ExaminationSeries 40
Date: 1/21/1974
Registered Principal ExaminationCurrent Firm
TOCQUEVILLE ASSET MANAGEMENT LP
CRD#: 105690 / SEC#: 801-36209
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,440 |
| AUM (Assets Under Management) | $ 9,660,385,107 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/26/2025 | ||
| 09/27/2024 | ||
| 02/22/2024 | ||
| 03/16/2023 |
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.
