Articles Tagged with Robert Mueller

Robert MuellerPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 17, 2019 indicate that Texas-based UBS Financial Services broker/adviser Robert Mueller has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Mueller (CRD# 2647227).

Robert Mueller has spent 23 years in the securities industry and has been registered with UBS Financial Services in Houston, Texas since 2009. Previous registrations include Morgan Stanley & Company in Houston, Texas (2000-2009) and Goldman Sachs & Company in New York, New York (1995-2000). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on June 8, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 8, 1995; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 3 (National Commodity Futures Examination), which he obtained on August 30, 1995; and Series 7 (General Securities Representative Examination), which he obtained on August 24, 1995. He is registered with 22 US states and territories: Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, Florida, Hawaii, Illinois, Louisiana, Nebraska, New York, North Carolina, Oklahoma, Pennsylvania, Tennessee, Texas, Utah, Washington, and Wisconsin.

According to his BrokerCheck report, he has received two customer complaints, one pending customer complaint, and one denied customer complaint.