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BM

Brenda M. Miller

CETERA INVESTMENT ADVISERS
NEWBURGH, IN 47630
Some features on this profile are disabled
CRD#: 1001484
BM

Professional summary

Brenda Middleton Miller, CFP®, who also goes by Brenda Gail Middleton, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Newburgh, Indiana and CETERA WEALTH SERVICES, LLC located in Newburgh, Indiana.

Brenda is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Brenda has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Brenda Gail Middleton

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brenda Middleton Miller's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®

Certified Financial Planner

Start date: 1993

Experience

Current

August 10, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 8988 Ruffian Ln, Newburgh, IN 47630
RIA
CRD#: 105644
NEWBURGH, IN
Current

August 10, 2023 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 8988 Ruffian Lane, Newburgh, IN 47630
BD
CRD#: 13572
Newburgh, IN
Past

October 10, 2007 - August 10, 2023

SECURIAN FINANCIAL SERVICES, INC.

RIA
CRD#: 15296
NEWBURGH, IN
Past

October 10, 2007 - August 10, 2023

SECURIAN FINANCIAL SERVICES, INC.

BD
CRD#: 15296
NEWBURGH, IN
Past

September 28, 1994 - December 20, 2007

CHARTER FINANCIAL GROUP

RIA
CRD#: 122176
NEWBURGH, IN
Past

December 14, 1987 - December 20, 2007

FIRST SECURITIES NETWORK CORPORATION

BD
CRD#: 19435
NEWBURGH, IN
Past

June 26, 1981 - December 19, 1987

THOMSON MCKINNON SECURITIES INC.

BD
CRD#: 829

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS

CRD#: 105644 / SEC#: 801-20406

RIA
Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(2/29/2024)
RR
Florida
(8/14/2023)
RR
Georgia
(1/7/2025)
RR
Illinois
(8/10/2023)
RR
Indiana
(8/10/2023)
IAR
Indiana
(8/10/2023)
RR
Kentucky
(8/10/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 3/26/1982
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/20/1981
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/26/1988
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS

CRD#: 105644 / SEC#: 801-20406

RIA
Registered Investment Advisory firm - (1/13/1984 Approved)
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Contact information

Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2025
Cover Page
Report
12/13/2024
Cover Page
Report
09/26/2023
Cover Page
Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644Newburgh, IN 47630

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