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RIA / WealthAdvisordual registered (broker-dealer)42 years in industry

NICHOLAS G MUELLER

Advisor at LPL FINANCIAL LLC

FLORHAM PARK, NJ

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Search this name across graphsid dfx:ria:bb642ee9-e0d8-f1bc-8c66-e9a15db6fb88

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:42 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Aug 2, 2006 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: LPL FINANCIAL LLC
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: May 3, 1984earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: May 3, 1984
First registration: Aug 2, 2006
Dual registered: yes, broker-dealer
Other names: GEORGE FRANCIS MUELLER
IAPD individual key: 1240555

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
LPL FINANCIAL LLC	Bd affiliated wealth	Nov 12, 2021	n/a	yes	FLORHAM PARK, NJ	Current employment
RBC CAPITAL MARKETS, LLC	National bd RIA	Sep 16, 2014	Nov 12, 2021	no	FLORHAM PARK, NJ	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Aug 8, 2008	Sep 18, 2014	no	WAYNE, NJ	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Aug 2, 2006	Aug 22, 2008	no	FLORHAM PARK, NJ	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
RBC CAPITAL MARKETS, LLC	LPL FINANCIAL LLC	Nov 12, 2021	Nov 12, 2021	0	Firm change	Ibd to ibd
WELLS FARGO ADVISORS	RBC CAPITAL MARKETS, LLC	Sep 18, 2014	Sep 16, 2014	-2	Firm change	Wirehouse to ibd
UBS FINANCIAL SERVICES INC.	WELLS FARGO ADVISORS	Aug 22, 2008	Aug 8, 2008	-14	Firm change	Wirehouse to wirehouse

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Nov 12, 2021 to presentfactForm ADV
→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: previous registration
Sep 16, 2014 to Nov 12, 2021factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Aug 8, 2008 to Sep 18, 2014factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Aug 2, 2006 to Aug 22, 2008factForm ADV

Dated events

No dated event names this entity yet.