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Current Employers
Valley Wealth Strategies, Llc

404 W. Pine Street Suite 6, Lodi, CA 95240 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2020-07-07
WA RA APPROVED 2020-07-07
  • CA RA
    APPROVED
    Since 2020-07-07
  • WA RA
    APPROVED
    Since 2020-07-07

Branch Locations

112 West Young Street, Elma, WA 98541 • United States

404 W. Pine Street Suite 6, Lodi, CA 95240 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Mueller Insurance & Financial Services, Inc. Elma WA 03/1999 Present
Lpl Financial Llc Elma WA 12/2017 Present
National Planning Corporation Elma WA 07/2012 11/2017
Valley Wealth Strategies, Llc Elma WA 06/2020 Present
  • 03/1999 → Present
    Mueller Insurance & Financial Services, Inc.
    Elma, WA
  • 12/2017 → Present
    Lpl Financial Llc
    Elma, WA
  • 07/2012 → 11/2017
    National Planning Corporation
    Elma, WA
  • 06/2020 → Present
    Elma, WA
Other Businesses

1. 11/29/2017 - Mueller Insurance & Financial Services, Inc - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - President - Start Date 04/2017 - 60 Hours During Trading 2. 11/29/2017 - No Business Name - Investment Related - Non-Variable Insurance - Agent - Life, Disability, Health, LTC, Annuities. 3. Michael Mueller is dually-registered with Valley Wealth Strategies, LLC and LPL Financial LLC ("LPL"). Michael Mueller has served as an investment advisor representative for Valley Wealth Strategies, LLC and a registered representative with LPL since 01/2019. Business is conducted from Elma, WA. Approximately 90% of Michael Mueller's time is for services as an investment advisor representative and the balance as a registered representative. 4. 10/23/2018 - No Business Name - Investment Related - Elma, WA 98541 - Real Estate Rental - OWNER/LANDLORD - Started 02/07/2006 - 1 Hour Per Month/0 Hours During Securities Trading. 5. 10/28/2020 - Valley Wealth Strategies, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date: 06/30/2020 - 60 Hours Per Month/60 Hours During Securities Trading - I provide investment advisory services through Valley Wealth Strategies, LLC, an independent investment advisor firm. I started this business activity in 6/2020. I expect to spend approximately 60 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2020-06-27
S63 Uniform Securities Agent State Law Examination 2003-05-23
  • S65 Uniform Investment Adviser Law Examination
    2020-06-27
  • S63 Uniform Securities Agent State Law Examination
    2003-05-23
Other Names
  • Michael J Mueller

View on SEC IAPD

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