Stephen Richard Mueller

Current Employers

Employment History

• 07/2015 → 11/2022
  Principal Life Insurance Company
  Saint Charles, FL
• 07/2015 → 11/2022
  Principal Securities Inc
  Saint Charles, MO
• 09/2015 → 10/2019
  Api Financial Solutions
  Saint Peters, MO
• 11/2015 → 10/2019
  Api Financial Solutions
  Saint Peters, MO
• 11/2022 → 11/2024
  Ohio National Financial Services
  Cincinnati, OH
• 04/2023 → 11/2024
  The O.N. Equity Sales Company
  Cincinnati, OH
• 11/2024 → Present
  Osaic Wealth Inc
  Chesterfield, MO

Previous Registrations

• 2023-05-04 → 2024-11-15
  On Investment Management Co
  Chesterfield, MO
• 2015-08-12 → 2022-12-05
  Principal Securities, Inc.
  St Peters, MO
  Chesterfield, MO
  Saint Charles, MO
• 2015-01-02 → 2015-08-10
  Cambridge Investment Research Advisors, Inc.
  Saint Peters, MO

Other Businesses

1) Mueller Family Real Estate Partners LLC; not investment related; 2) Rental Property; not investment property; 331 Clark Street St Charles Mo 63301; this is a AirBNB rental home that my wife and I own. ; Owner; 11/01/2017; 1 hour/month ( 0 during securities hours) ; My wife manages this property which we rent as a AirBNB or VRB house rental. I am not involved except for an occasional handy man project if something needs fixing. 3) STRATEGIC PLANNING AND INVESTMENTS POSITION: Financial Advisor NATURE: I have joined Strategic Planning and Investments as a Financial Advisor. INVESTMENT RELATED: Yes NUMBER OF HOURS: 25 SECURITIES TRADING HOURS: 100 START DATE: 11/11/2024 ADDRESS: 15455 Conway Rd., Suite 230, Chesterfield MO 63017, United States DESCRIPTION: Work with clients to help them build investments and savings for their retirement or other financial goals. 4) PAYROLL SALES POSITION: Sales Person NATURE: Corporation INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 08/01/2023 ADDRESS: 10500 Heritage Blvd, Suite 110, San Antonio TX 78216, United States DESCRIPTION: Provide one on one sales assistance to new and payroll clients and provide referrals to Execupay for their Payroll Services. 5) INSURANCE SALES POSITION: Salesman NATURE: Sale of Health and Life Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2005 ADDRESS: 15455 Conway Rd., Suite 230, Chesterfield MO 63017, United States DESCRIPTION: Providing Insurance products that meet a individuals, or families needs in the most cost efficient way. 6) MUELLER FAMILY REAL ESTATE, AND RENTAL PROPERTY POSITION: none NATURE: My wife and I own a rental property through and LLC called Mueller Family Real Estate Partnership. This type of property is commonly referred to as a Guest House. We advertise this property on AirBNB as well as VRBO. My wife Lisa is the operator/manager of this property. The only involvement I have is to do occasional repair work on the house. INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2018 ADDRESS: 331 Clark St., Saint Charles MO 63301, United States DESCRIPTION: I very occasionally will do some repair work on the house.

Exams

• S65 Uniform Investment Adviser Law Examination
  2014-11-13
• S63 Uniform Securities Agent State Law Examination
  1997-06-13