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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

STEPHEN RICHARD MUELLER

Advisor at OSAIC WEALTH, INC.

CHESTERFIELD, MO

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Search this name across graphsid dfx:ria:08d1d446-f79d-2f84-9354-6b9b89135a2e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 6:00 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Jan 2, 2015 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: OSAIC WEALTH, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 13, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Jun 13, 1997
First registration: Jan 2, 2015
Dual registered: yes, broker-dealer
IAPD individual key: 1979295

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
OSAIC WEALTH, INC.	Bd affiliated wealth	Nov 13, 2024	n/a	yes	CHESTERFIELD, MO	Current employment
ON INVESTMENT MANAGEMENT CO	Bd affiliated wealth	May 4, 2023	Nov 15, 2024	no	Chesterfield, MO	Previous registration
PRINCIPAL SECURITIES, INC.	Bd affiliated wealth	Aug 12, 2015	Dec 5, 2022	no	ST PETERS, MO\|CHESTERFIELD, MO\|Saint Charles, MO	Previous registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Bd affiliated wealth	Jan 2, 2015	Aug 10, 2015	no	SAINT PETERS, MO	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
ON INVESTMENT MANAGEMENT CO	OSAIC WEALTH, INC.	Nov 15, 2024	Nov 13, 2024	-2	Firm change	Ibd to ibd
PRINCIPAL SECURITIES, INC.	ON INVESTMENT MANAGEMENT CO	Dec 5, 2022	May 4, 2023	150	Firm change	Ibd to ibd
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	PRINCIPAL SECURITIES, INC.	Aug 10, 2015	Aug 12, 2015	2	Firm change	Other

Relationships

Registered with (4)

→ OSAIC WEALTH, INC.Registered adviserregistration: current employment
Nov 13, 2024 to presentfactForm ADV
→ ON INVESTMENT MANAGEMENT CORegistered adviserregistration: previous registration
May 4, 2023 to Nov 15, 2024factForm ADV
→ PRINCIPAL SECURITIES, INC.Registered adviserregistration: previous registration
Aug 12, 2015 to Dec 5, 2022factForm ADV
→ CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.Registered adviserregistration: previous registration
Jan 2, 2015 to Aug 10, 2015factForm ADV

Dated events

Occurred
Nov 15, 2024
Advisor changed firm
Stephen Richard Mueller left On Investment Management Co for Osaic Wealth, Inc. (registered 2024-11-13)
Form ADVobserved 6 days ago
Occurred
Dec 5, 2022
Advisor changed firm
Stephen Richard Mueller left Principal Securities, Inc. for On Investment Management Co (registered 2023-05-04)
Form ADVobserved 6 days ago