DM
Daniel Mueller
ZIONS DIRECT
El Segundo, CA 90245
Some features on this profile are disabled
CRD#: 6969172
DM
Professional summary
Daniel Mueller, who also goes by Daniel Douglas Mueller, is a registered financial professional currently at ZIONS DIRECT, INC. located in El Segundo, California.
Daniel is registered as a RR (Registered Representative) and started their career in finance in 2022. Daniel has worked at 2 firms and has passed the Series 63, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Daniel Douglas 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.
CRS (Client Relationship Summary) - BD
Click below to view Daniel Mueller's 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®
NoneExperience
Current
July 16, 2024 - Present
ZIONS DIRECT, INC.
Office #1: 200 N Pacific Coast Highway Suite 1600, El Segundo, CA 90245BD
CRD#: 17776
El Segundo, CA
Past
March 28, 2022 - July 16, 2024
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
BD
CRD#: 39805
Santa Monica, CA
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
Alabama(1/13/2025)
RR
Alaska(1/13/2025)
RR
Arizona(1/13/2025)
RR
Arkansas(1/13/2025)
RR
California(7/16/2024)
RR
Colorado(1/13/2025)
RR
Connecticut(1/13/2025)
RR
Delaware(1/13/2025)
RR
District of Columbia(1/13/2025)
RR
Florida(1/13/2025)
RR
Georgia(1/13/2025)
RR
Hawaii(1/13/2025)
RR
Idaho(1/13/2025)
RR
Illinois(1/13/2025)
RR
Indiana(1/13/2025)
RR
Iowa(1/13/2025)
RR
Kansas(1/13/2025)
RR
Kentucky(1/13/2025)
RR
Louisiana(1/13/2025)
RR
Maine(1/13/2025)
RR
Maryland(1/13/2025)
RR
Massachusetts(1/13/2025)
RR
Michigan(1/13/2025)
RR
Minnesota(1/13/2025)
RR
Mississippi(1/13/2025)
RR
Missouri(1/13/2025)
RR
Montana(1/13/2025)
RR
Nebraska(1/13/2025)
RR
Nevada(1/13/2025)
RR
New Hampshire(1/13/2025)
RR
New Jersey(1/13/2025)
RR
New Mexico(1/13/2025)
RR
New York(1/13/2025)
RR
North Carolina(1/13/2025)
RR
North Dakota(1/13/2025)
RR
Ohio(1/14/2025)
RR
Oklahoma(1/13/2025)
RR
Oregon(1/13/2025)
RR
Pennsylvania(1/13/2025)
RR
Puerto Rico(1/13/2025)
RR
Rhode Island(1/13/2025)
RR
South Carolina(1/13/2025)
RR
South Dakota(1/13/2025)
RR
Tennessee(1/13/2025)
RR
Texas(1/13/2025)
RR
Utah(1/13/2025)
RR
Vermont(1/13/2025)
RR
Virginia(1/13/2025)
RR
Washington(1/13/2025)
RR
West Virginia(1/13/2025)
RR
Wisconsin(1/13/2025)
RR
Wyoming(1/13/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/26/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
ZD
ZIONS DIRECT, INC.
ZIONS CAPITAL MARKETS | ZIONS INVESTMENT SECURITIES, INC. | ZIONS INVESTMENT SECURITIES, INC | ZIONS DISCOUNT BROKERAGE, INC. | ZIONS DIRECT, INC.
CRD#: 17776 / SEC#: , 8-35721
BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
One South Main Street, Salt Lake City, UT 84133
Mailing Address
One South Main Street 17th Floor, Salt Lake City, UT 84133
Phone number
(801) 844-7843
Established
Utah since 02/07/1986
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ZIONS BANCORPORATION, N.A. | PARENT COMPANY | |
| BURDISS, PAUL EDWARD | BOARD MEMBER | 7267112 |
| HASH, JENNIFER KYLE | CHIEF COMPLIANCE OFFICER | 4123554 |
| KYRIAKAKIS, CHRISTOPHER | BOARD MEMBER | 8020162 |
| MACDONALD, MICHAEL WHITNEY | PRESIDENT / CHIEF EXECUTIVE OFFICER | 4533843 |
| MOORE, RYAN D | FINOP | 7216248 |
| RICHARDS, ROBERT RYAN | BOARD MEMBER | 8021252 |
| STEWARD, DEREK STRIBLING | BOARD MEMBER | 8022102 |
| YU, THOMAS | BOARD MEMBER | 7994635 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 3 |
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.
