Nicholas G Mueller

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/2014 → 11/2021
  Rbc Capital Markets, Llc
  Florham Park, NJ
• 11/2021 → Present
  Lpl Financial, Llc
  Florham Park, NJ

Previous Registrations

• 2014-09-16 → 2021-11-12
  Rbc Capital Markets, Llc
  Florham Park, NJ
• 2008-08-08 → 2014-09-18
  Wells Fargo Clearing Services, Llc
  Wayne, NJ
• 2006-08-02 → 2008-08-22
  Ubs Financial Services Inc.
  Florham Park, NJ

Other Businesses

1) 10/2021 - DBA for LPL Business (entity for LPL business) - Coastal Integrity Wealth Advisors - Investment Related - 100% - Florham Park, NJ 07932 2) 10/2021 - DBA for LPL Business (entity for LPL business) - Gladstone Wealth Partners - Investment Related - 100% - Florham Park, NJ 07932

Exams

• S66 Uniform Combined State Law Examination
  2006-08-01
• S63 Uniform Securities Agent State Law Examination
  1984-05-03

Other Names

• George Francis Mueller