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Detailed Report
JOSHUA AARON MUELLER
CRD#: 7081256
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 10010 REGENCY CIRCLE
3RD FL
OMAHA, NE 68114
Registration History
20202021202220232024202520262 FIRMS2023 - Present (1 year)BMUTUAL OF OMAHA INVESTOR SERVI... (CRD# 611)2020 - 2021 (1 year)IAWEALTHPLAN INVESTMENT MANAGEME... (CRD# 311364)2022 - 2023 (<1 year)IASMART WEALTH, LLC (CRD# 315496)2021 - 2022 (<1 year)IAAE WEALTH MANAGEMENT, LLC (CRD# 282580)2021 - 2021 (<1 year)
License(s)

State Registrations

IA
Nebraska 5/2/2023
B
Nebraska 5/10/2023

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
10010 REGENCY CIRCLE 3RD FL, OMAHA, NE 68114
Registered with this firm since 5/2/2023
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
10010 REGENCY CIRCLE 3RD FL, OMAHA, NE 68114
Registered with this firm since 5/2/2023
Previous Registration(s)
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 06/03/2022 - 04/10/2023 WEALTHPLAN INVESTMENT MANAGEMENT LLC (CRD#:311364) OMAHA, NE
IA
 11/23/2021 - 06/01/2022 SMART WEALTH, LLC (CRD#:315496) OMAHA, NE
IA
 09/13/2021 - 11/22/2021 AE WEALTH MANAGEMENT, LLC (CRD#:282580) Omaha, NE
B
 01/22/2020 - 03/03/2021 MUTUAL OF OMAHA INVESTOR SERVICES, INC. (CRD#:611) OMAHA, NE
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.