Wanda R. Miller
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Wanda Rose Miller, who also goes by Wanda R Baniak, Wanda Rose Baniak, Wanda Rose Higbee, was a registered financial professional .
Wanda is a previously registered financial professional and started their career in finance in 1983. Wanda had worked at 12 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 22, Series 6 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 21, 2016 - December 31, 2016
KEY INVESTMENT SERVICES LLC
September 21, 2016 - February 1, 2021
KEY INVESTMENT SERVICES LLC
April 20, 2015 - September 21, 2016
LPL FINANCIAL LLC
April 20, 2015 - September 21, 2016
LPL FINANCIAL LLC
July 23, 2012 - April 15, 2015
CUNA BROKERAGE SERVICES, INC.
July 13, 2012 - April 15, 2015
CUNA BROKERAGE SERVICES, INC.
October 5, 2011 - April 17, 2012
CAPITAL ONE INVESTMENT SERVICES LLC
October 1, 2000 - September 13, 2006
WELLS FARGO CLEARING SERVICES, LLC
January 1, 1996 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
September 26, 1995 - January 1, 1996
MARKETING ONE SECURITIES, INC.
August 16, 1993 - June 6, 1995
WALL STREET ACCESS
September 10, 1992 - May 28, 1993
INVEST FINANCIAL CORPORATION
September 24, 1990 - September 1, 1992
IFMG SECURITIES, INC.
March 30, 1984 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
March 30, 1983 - October 9, 1990
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
KEY INVESTMENT SERVICES LLC
CRD#: 136300 / SEC#: 801-65060, 8-66999
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 10/18/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
KEY INVESTMENT SERVICES LLC
CRD#: 136300 / SEC#: 801-65060, 8-66999
Contact information
SEC notice filing (44 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KEYBANC CAPITAL MARKETS INC. | SOLE OWNER | 566 |
| CALABRESE, GIUSEPPE NMN | CO-CEO/PRESIDENT | 5013231 |
| DOUCE, MARK IVAN | CHIEF COMPLIANCE OFFICER | 2959137 |
| GULLA, MATTHEW TODD | CHIEF ADMINISTRATIVE OFFICER | 3040637 |
| HOTZ, BURTON BRUCE NICHOLAS | CHIEF RISK OFFICER | 3025138 |
| JANOFSKY, PAULA MARIE | OPERATIONS OFFICER | 2882776 |
| KOVACHICK, MARK ALLAN | CHIEF FINANCIAL OFFICER/DIRECTOR | 5390571 |
| SCHMIDT, SOLOMON LEE | CO-CEO/PRESIDENT | 4404279 |
| SKARDA, JOSEPH BRIEL | HEAD OF KEY WEALTH MANAGEMENT | 4288186 |
| THEBERGE, JONATHAN MARC | CHIEF OPERATIONS OFFICER | 7722891 |
| WEICK, PAUL ALFRED II | CHIEF LEGAL OFFICER | 2286289 |
Regulatory assets under management
| Total Number of Accounts | 27,533 |
| AUM (Assets Under Management) | $ 6,107,213,206 |
Disclosures
| Regulatory Event | 4 |
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.
