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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

JOHN MICHAEL MUELLER

Advisor at PRINCIPAL ASSET MANAGEMENT

Falmouth, ME

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:30 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jun 11, 2007 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: PRINCIPAL ASSET MANAGEMENT
Current firm class: other adviserderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 8, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom 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: S66|S63|S65
First exam: Feb 8, 2006
First registration: Jun 11, 2007
Dual registered: yes, broker-dealer
Other names: JOHN M. MUELLER|JOHN MICHAEL MUELLER|John Mueller
IAPD individual key: 5044902

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
PRINCIPAL ASSET MANAGEMENT	Other adviser	May 6, 2025	n/a	yes	Falmouth, ME	Current employment
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Jul 24, 2023	Apr 3, 2025	no	SACO, ME	Previous registration
ALLSPRING FUNDS MANAGEMENT, LLC	Asset manager	May 30, 2012	Apr 27, 2015	no	MENOMONEE FALLS, WI\|PORTLAND, ME	Previous registration
AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.	Former SEC adviser	Jun 11, 2007	May 21, 2012	no	BOSTON, MA	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
CETERA INVESTMENT ADVISERS LLC	PRINCIPAL ASSET MANAGEMENT	Apr 3, 2025	May 6, 2025	33	Firm change	Other
ALLSPRING FUNDS MANAGEMENT, LLC	CETERA INVESTMENT ADVISERS LLC	Apr 27, 2015	Jul 24, 2023	3,010	Firm change after gap	Other
AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.	ALLSPRING FUNDS MANAGEMENT, LLC	May 21, 2012	May 30, 2012	9	Firm change	Other

Relationships

Registered with (4)

→ PRINCIPAL ASSET MANAGEMENTRegistered adviserregistration: current employment
May 6, 2025 to presentfactForm ADV
→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: previous registration
Jul 24, 2023 to Apr 3, 2025factForm ADV
→ ALLSPRING FUNDS MANAGEMENT, LLCRegistered adviserregistration: previous registration
May 30, 2012 to Apr 27, 2015factForm ADV
→ AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.Registered adviserregistration: previous registration
Jun 11, 2007 to May 21, 2012factForm ADV

Dated events

Occurred
Apr 3, 2025
Advisor changed firm
John Michael Mueller left Cetera Investment Advisers Llc for Principal Asset Management (registered 2025-05-06)
Form ADVobserved 5 days ago