Nicholas P. Mueller

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CRD#: 6268231

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.

Nicholas Peter Mueller, who also goes by Nicholas P Mueller, Nicholas Mueller, Nick Peter Mueller, was a registered financial professional .

Nicholas is a previously registered financial professional and started their career in finance in 2014. Nicholas had worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Nicholas P Mueller | Nicholas Mueller | Nick Peter Mueller

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.

The advisor shows no other business activity.

Blog Corner

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®

None

Experience

Past

December 13, 2024 - March 3, 2025

INDEPENDENCE WEALTH ADVISORS, LLC

RIA

CRD#: 306236

INDEPENDENCE, OH

Past

September 7, 2022 - October 21, 2024

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

TROY, MI

Past

November 1, 2020 - September 23, 2021

INNOVATION PARTNERS LLC

CRD#: 146344

CHARLOTTE, NC

Past

July 1, 2019 - November 2, 2020

MERCAP SECURITIES, LLC

CRD#: 156607

ATLANTA, GA

Past

January 12, 2016 - June 5, 2017

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

CRD#: 18353

NEWARK, NJ

Past

January 28, 2014 - December 21, 2015

HENNION & WALSH, INC.

CRD#: 25766

PARSIPPANY, NJ

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".

INDEPENDENCE WEALTH ADVISORS, LLC

CRD#: 306236 / SEC#: 801-130211

RIA

Registered Investment Advisory firm - (5/6/2024 Approved)

Ohio

Registered Investment Advisory firm - (5/11/2024 Terminated)

Texas

Registered Investment Advisory firm - (5/9/2024 Terminated)

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.

Visual representation of state registrations

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

State Security Law Exam

IAR

Series 65

Date: 11/26/2024

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/11/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 6/5/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/28/2014

General Securities Representative Examination

Current Firm

INDEPENDENCE WEALTH ADVISORS, LLC

CRD#: 306236 / SEC#: 801-130211

RIA

Registered Investment Advisory firm - (5/6/2024 Approved)

Ohio

Registered Investment Advisory firm - (5/11/2024 Terminated)

Texas

Registered Investment Advisory firm - (5/9/2024 Terminated)

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Contact information

Main Address

6100 Oak Tree Blvd South Suite 130, Independence, OH 44131

Mailing Address

Phone number

(216) 268-3888

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A- INDEPENDENCE WEALTH ADVISORS, LLC (10/6/2025)

Regulatory assets under management

Total Number of Accounts	967
AUM (Assets Under Management)	$ 162,765,622

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.

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Advisor Monitoring

Firm Stability Insights

Nicholas P. Mueller

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RAYMOND JAMES & ASSOCIATES, INC.

INNOVATION PARTNERS LLC

MERCAP SECURITIES, LLC

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

HENNION & WALSH, INC.

Primary Firm SEC Registration

INDEPENDENCE WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/26/2024

Series 63

Date: 5/11/2015

SIE

Date: 6/5/2017

Series 7

Date: 1/28/2014

Current Firm

INDEPENDENCE WEALTH ADVISORS, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

INDEPENDENCE WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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