DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)15 years in industry

Steven Mueller

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

Middleton, WI | Oregon, WI

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:df8d677d-328f-82f6-501c-e3cd9d590e61

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:55 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Apr 29, 2011 to Sep 15, 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: AMERIPRISE FINANCIAL SERVICES, LLC
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 28, 2011earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Apr 28, 2011
First registration: Apr 29, 2011
Dual registered: yes, broker-dealer
Other names: Steven Mueller|STEVEN ANDREW MUELLER
IAPD individual key: 5900087

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
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Jan 16, 2026	n/a	yes	Middleton, WI\|Oregon, WI	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	May 18, 2022	Jan 23, 2026	no	STOUGHTON, WI\|PORTAGE, WI\|Madison, WI\|BARABOO, WI\|COTTAGE GROVE, WI	Previous registration
CUNA BROKERAGE SERVICES, INC.	Former SEC adviser	Feb 24, 2012	May 18, 2022	no	WAVERLY, IA\|FITCHBURG, WI\|BARABOO, WI\|MADISON, WI\|Cottage Grove, WI\|Stoughton, WI\|FITCHBURG, WI\|FITCHBURG, WI\|Madison, WI\|PORTAGE, WI	Previous registration
MORGAN STANLEY	Wirehouse	Apr 29, 2011	Feb 8, 2012	no	Madison, WI	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
LPL FINANCIAL LLC	AMERIPRISE FINANCIAL SERVICES, LLC	Jan 23, 2026	Jan 16, 2026	-7	Firm change	Ibd to ibd
CUNA BROKERAGE SERVICES, INC.	LPL FINANCIAL LLC	May 18, 2022	May 18, 2022	0	Bulk transfer	Ibd to RIA
MORGAN STANLEY	CUNA BROKERAGE SERVICES, INC.	Feb 8, 2012	Feb 24, 2012	16	Firm change	Other

Relationships

Registered with (4)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: current employment
Jan 16, 2026 to presentfactForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
May 18, 2022 to Jan 23, 2026factForm ADV
→ CUNA BROKERAGE SERVICES, INC.Registered adviserregistration: previous registration
Feb 24, 2012 to May 18, 2022factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Apr 29, 2011 to Feb 8, 2012factForm ADV

Dated events

Occurred
Jan 23, 2026
Advisor changed firm
Steven Mueller left Lpl Financial Llc for Ameriprise Financial Services, Llc (registered 2026-01-16)
Form ADVobserved 5 days ago