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MM

Mueller L. Moffitt

TPEG SECURITIES
Southlake, TX 76092
Some features on this profile are disabled
CRD#: 6312154
MM

Professional summary

Mueller Luke Moffitt, who also goes by Luke Moffitt, is a registered financial professional currently at TPEG SECURITIES, LLC located in Southlake, Texas.

Mueller is registered as a RR (Registered Representative) and started their career in finance in 2019. Mueller has worked at 1 firm and has passed the Series 63, Series 82TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Luke Moffitt

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) - BD

Click below to view Mueller Luke Moffitt's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

September 13, 2019 - Present

TPEG SECURITIES, LLC

Office #1: 2102 E State Hwy 114 Suite 300, Southlake, TX 76092
BD
CRD#: 146726
Southlake, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(9/24/2019)
RR
Florida
(8/11/2022)
RR
Illinois
(1/18/2023)
RR
New Jersey
(2/28/2024)
RR
New York
(9/24/2019)
RR
North Carolina
(8/11/2022)
RR
Texas
(9/13/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 8/30/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 82TO
Date: 9/13/2019
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
SIE
Date: 8/10/2019
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

TS
TPEG SECURITIES, LLC
TPEG SECURITIES, LLC

CRD#: 146726 / SEC#: , 8-67843

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
2102 E State Hwy 114 Suite 300, Southlake, TX 76092
Mailing Address
2102 E State Hwy 114 Suite 300, Southlake, TX 76092
Phone number
(817) 310-2900
Established
Texas since 10/15/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CHANDRA, SANJAYMANAGING MEMBER5512809
MEADER, DANIEL SHRIGLEYMANAGING MEMBER,CEO,CCO, EXECUTIVE REPRESENTATIVE4789581
TROUSDALE, LAUREN NICOLEFINOP5622407

Disclosures

Regulatory Event2

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.

Company Information

TPEG SECURITIES, LLC

CRD#: 146726Southlake, TX 76092

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