Kathleen M. Mueller

PRASAD WEALTH PARTNERS

INDEPENDENCE, OH 44131

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CRD#: 6711238

Professional summary

Kathleen Maura Mueller, who also goes by K. Maura Mueller, Kathleen M Mueller, Kathleen Mueller, Maura Mueller, Kathleen Maura Sammon, Kathleen Sammon, Maura Sammon, is a registered financial advisor currently at PRASAD WEALTH PARTNERS located in Independence, Ohio.

Kathleen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Kathleen has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

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) - RIA

Click below to view Kathleen Maura Mueller'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 6, 2024 - Present

PRASAD WEALTH PARTNERS

Office #1: 6050 Oak Tree Blvd. Suite 100, Independence, OH 44131

RIA

CRD#: 332507

INDEPENDENCE, OH

Past

May 5, 2021 - September 30, 2024

REGAL INVESTMENT ADVISORS LLC

RIA

CRD#: 125004

Independence, OH

Past

May 4, 2021 - September 30, 2024

REGULUS FINANCIAL GROUP, LLC

CRD#: 150631

Independence, OH

Past

November 1, 2018 - May 4, 2021

ROBERT W. BAIRD & CO. INCORPORATED

RIA

CRD#: 8158

CLEVELAND, OH

Past

November 1, 2018 - May 4, 2021

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

CLEVELAND, OH

Past

October 4, 2017 - November 7, 2018

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

WESTLAKE, OH

Past

May 8, 2017 - November 7, 2018

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WESTLAKE, OH

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".

PRASAD WEALTH PARTNERS

PRASAD WEALTH PARTNERS | PRASAD WEALTH PARTNERS, LLC

CRD#: 332507 / SEC#: 801-130984

RIA

Registered Investment Advisory firm - (8/29/2024 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Ohio
(9/6/2024)

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 66

Date: 10/3/2017

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/8/2017

General Securities Representative Examination

Current Firm

PRASAD WEALTH PARTNERS

PRASAD WEALTH PARTNERS | PRASAD WEALTH PARTNERS, LLC

CRD#: 332507 / SEC#: 801-130984

RIA

Registered Investment Advisory firm - (8/29/2024 Approved)

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Contact information

Main Address

6050 Oak Tree Blvd. Suite 100, Independence, OH 44131

Mailing Address

Phone number

(216) 313-9999

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PRASAD WEALTH PARTNERS ADV PART 2A 03-26-2025 (3/26/2025)

Regulatory assets under management

Total Number of Accounts	1,869
AUM (Assets Under Management)	$ 485,982,385

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

Kathleen M. Mueller

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathleen Maura Mueller's CRS (Customer Relationship Summary).

Certified licenses

Experience

REGAL INVESTMENT ADVISORS LLC

REGULUS FINANCIAL GROUP, LLC

ROBERT W. BAIRD & CO. INCORPORATED

ROBERT W. BAIRD & CO. INCORPORATED

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

PRASAD WEALTH PARTNERS

State Registrations and Notice Filings

Exams

Series 66

Date: 10/3/2017

SIE

Date: 10/1/2018

Series 7

Date: 5/8/2017

Current Firm

PRASAD WEALTH PARTNERS

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PRASAD WEALTH PARTNERS

TRUST BUT VERIFY

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