Thomas V. Mueller

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CRD#: 825360

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.

Thomas Vernon Mueller, CFP®, who also goes by Tom Mueller, was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1976. Thomas had worked at 13 firms and has passed the Series 63, Series 6TO, Series 22TO, SIE and Series 1 exams.

Question & Answer

What are your service offerings?

Insurance Planning

Comprehensive Financial Planni...

Investment Planning

Employee and Employer Plan Ben...

Are you a "fiduciary"?

Aliases

Tom 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.

1) RENTAL PROPERTY, 4632 E. 48th Place, Davenport IA 52807, 12/1999, OWNER, REAL ESTATE, NIR, 3 HR/MO - 0 HR/MO TRADING. 2) THOMAS MUELLER, 1717 State Street, Suite 101, Bettendorf IA 52722, 01/2025, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, INV REL, 5 HR/MO - 5 HR/MO TRADING. 3) BETTENDORF FINANCIAL GROUP, 1717 State Street, Suite 101, Bettendorf IA 52722, 01/2025, DBA NAME, 20 HR/MO - 20 HR/MO TRADING. 4) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, , 01/2025, AS ADMINISTRATIVE REP OF A RIA. INV REL, 80 HR/MO- 80 HR/MO TRADING. 5) THOMAS V MUELLER BENEFIT PLANNERS & CO LLC, 4632 E 48th Pl, Davenport IA 52807, 01/2025, OWNER, 1 HR/MO - 1 HR/MO TRADING.

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®

CFP^®

Certified Financial Planner

Start date: 1985

Experience

Past

January 16, 2025 - December 31, 2025

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

Bettendorf, IA

Past

January 16, 2025 - December 31, 2025

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

Bettendorf, IA

Past

November 2, 2018 - December 4, 2024

OSAIC WEALTH, INC.

RIA

CRD#: 23131

DAVENPORT, IA

Past

November 2, 2018 - December 4, 2024

OSAIC WEALTH, INC.

CRD#: 23131

DAVENPORT, IA

Past

May 13, 2016 - November 2, 2018

SIGNATOR INVESTORS, INC.

RIA

CRD#: 468

BETTENFORF, IA

Past

May 13, 2016 - November 2, 2018

SIGNATOR INVESTORS, INC.

CRD#: 468

BETTENFORF, IA

Past

September 18, 2009 - May 13, 2016

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

BETTENFORF, IA

Past

September 18, 2009 - May 13, 2016

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

BETTENFORF, IA

Past

January 8, 2008 - September 22, 2009

QA3 FINANCIAL LLC

RIA

CRD#: 104957

DAVENPORT, IA

Past

July 30, 2004 - September 22, 2009

QA3 FINANCIAL CORP.

CRD#: 14754

DAVENPORT, IA

Past

November 12, 1996 - September 2, 2003

LOCUST STREET SECURITIES, INC.

CRD#: 1703

DES MOINES, IA

Past

March 12, 1994 - December 31, 1994

NORTH AMERICAN MANAGEMENT, INC.

CRD#: 624

SIOUX FALLS, SD

Past

November 13, 1989 - April 14, 1992

AETNA LIFE INSURANCE AND ANNUITY COMPANY

CRD#: 13256

HARTFORD, CT

Past

September 18, 1987 - December 31, 1988

TITAN/VALUE EQUITIES GROUP, INC.

CRD#: 6359

Past

June 22, 1983 - October 25, 1985

NEW ENGLAND SECURITIES

CRD#: 615

Past

August 2, 1976 - August 24, 1981

G. R. PHELPS & CO., INC.

CRD#: 173

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".

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CRD#: 134139 / SEC#: 801-63930

RIA

Registered Investment Advisory firm - (2/3/2005 Approved)

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

Series 63

Date: 8/15/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 22TO

Date: 1/2/2023

Direct Participation Programs Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 7/21/1976

Registered Representative Examination

Current Firm

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CRD#: 134139 / SEC#: 801-63930

RIA

Registered Investment Advisory firm - (2/3/2005 Approved)

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Contact information

Main Address

1776 Pleasant Plain Rd., Fairfield, IA 52556-8757

Mailing Address

Phone number

(641) 472-5100

Established

Firm type

Fiscal year end

# of Employees

3,361

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CIRA ADV 2A (9/8/2025)

WEALTHPORT WRAP BROCHURE (9/8/2025)

Regulatory assets under management

Total Number of Accounts	438,414
AUM (Assets Under Management)	$ 102,413,096,032

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/09/2024	Cover Page	Report
04/29/2024	Cover Page	Report

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.

Contact information

xxxxx@xxxx.xxx

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Thomas V. Mueller

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH, INC.

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

SIGNATOR INVESTORS, INC.

SIGNATOR INVESTORS, INC.

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

QA3 FINANCIAL LLC

QA3 FINANCIAL CORP.

LOCUST STREET SECURITIES, INC.

NORTH AMERICAN MANAGEMENT, INC.

AETNA LIFE INSURANCE AND ANNUITY COMPANY

TITAN/VALUE EQUITIES GROUP, INC.

NEW ENGLAND SECURITIES

G. R. PHELPS & CO., INC.

Primary Firm SEC Registration

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/15/1984

Series 6TO

Date: 1/2/2023

Series 22TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 1

Date: 7/21/1976

Current Firm

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

TRUST BUT VERIFY

Contact information

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