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300 Parkland Plaza, Ann Arbor, MI 48103 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-11-27 |
| KY | RA | APPROVED | 2010-11-16 |
| OH | RA | APPROVED | 2010-11-16 |
Branch Locations
300 Parkland Plaza, Ann Arbor, MI 48103 • United States
6900 Houston Road Building 700 Suite 31, Florence, KY 41042 • United States
No disclosure categories reported as “Yes” on this SEC record.
1. INDEPENDENT INSURANCE AGENT SELLING LIFE AND HEALTH PRODUCTS WITH VARIOUS COMPANIES 2. DBA - MUELLER FINANCIAL, INC. 3. Board Member - Give Where You Live Northern Kentucky. A charitable organization who raises money and disburses the funds to qualified Northern KY 501c3 organizations. Start Date: 1/14/19, approx. 5 hrs/mos with 50% during mkt hrs. Not investment related. 4. Three Winds, LLC, Moscow, OH - horse boarding and riding facility. My wife is the sole member of the LLC. Start date: 4/26/2021, approx. 30 hrs/mo, none during mkt hrs. INV REL: N 5. Sole owner - Mueller Properties, LLC, Florence, KY. Owner of 2 business condominiums that house my financial practice. Start date: 3/16/17, less than 1 hr/mo. INV REL: N
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-09-28 |
| S63 | Uniform Securities Agent State Law Examination | 1990-08-14 |
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