MM
Marc M. Miller
WEDBUSH SECURITIES
TIBURON, CA
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CRD#: 1133692
MM
Professional summary
Marc Michael Miller is a registered financial advisor currently at WEDBUSH SECURITIES INC. located in Tiburon, California.
Marc is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Marc has worked at 11 firms and has passed the Series 65, Series 63, Series 72, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
1) Marin Executive Suites Inc.; Investment-Related; Sausalito, CA; Lodging- Private Property Management; CEO & CFO; Start 3/1999; 6 - 12 hrs per month outside trading hours; Duties are bookkeeping and IT. 2) Civil Air Patrol - U.S. Air Force Auxiliary; Non Investment-Related; Nonprofit Corporation carrying out emergency services and disaster relief missions worldwide; Squadron Finance Officer; Bookkeeping; Hours per month 2; During trading hours 0; In charge of Bookkeeping.
CRS (Client Relationship Summary) - RIA
Click below to view Marc Michael Miller's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Marc Michael Miller's 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®
NoneExperience
Current
August 16, 2021 - Present
WEDBUSH SECURITIES INC.
RIA
BD
CRD#: 877
TIBURON, CA
Current
August 16, 2021 - Present
WEDBUSH SECURITIES INC.
Office #1: 225 S. Lake Ave Penthouse, Pasadena, CA 91101RIA
BD
CRD#: 877
Pasadena, CA
Past
January 2, 2015 - December 31, 2021
WESTERN INTERNATIONAL SECURITIES, INC.
RIA
CRD#: 39262
Sausalito, CA
Past
February 14, 2014 - December 31, 2014
GBS FINANCIAL CORP.
RIA
CRD#: 16906
SAUSALITO, CA
Past
December 23, 2013 - December 31, 2013
GBS FINANCIAL CORP.
RIA
CRD#: 16906
SAUSALITO, CA
Past
December 20, 2013 - February 11, 2014
GBS FINANCIAL CORP.
BD
CRD#: 16906
SANTA ROSA, CA
Past
November 20, 2013 - December 31, 2021
WESTERN INTERNATIONAL SECURITIES, INC.
BD
CRD#: 39262
Sausalito, CA
Past
January 2, 2004 - December 13, 2013
GBS FINANCIAL CORP.
RIA
CRD#: 16906
SAUSALITO, CA
Past
June 16, 1998 - December 13, 2013
GBS FINANCIAL CORP.
BD
CRD#: 16906
SAUSALITO, CA
Past
February 24, 1994 - June 4, 1998
THE HERITAGE GROUP, INC.
BD
CRD#: 24906
SAN FRANCISCO, CA
Past
March 20, 1991 - May 26, 1994
FIRST ASSOCIATED SECURITIES GROUP, INC.
BD
CRD#: 20597
CHICO, CA
Past
October 30, 1990 - April 11, 1991
BERMAN AND STICKEL INCORPORATED
BD
CRD#: 21297
SAN FRANCISCO, CA
Past
June 8, 1989 - July 27, 1990
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
March 1, 1984 - June 13, 1989
WULFF, HANSEN & CO.
BD
CRD#: 908
SAN RAFAEL, CA
Past
February 13, 1984 - March 15, 1984
BIRR, WILSON & CO., INC.
BD
CRD#: 93
Past
January 30, 1984 - December 31, 1984
MUNICIPAL BOND INVESTORS, INC.
BD
CRD#: 8156
Past
June 6, 1983 - February 14, 1984
CALIFORNIA MUNICIPAL INVESTORS, INC.
BD
CRD#: 7311
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".
WEDBUSH SECURITIES INC.
WEDBUSH MORGAN SECURITIES INC. | WEDBUSH, NOBLE, COOKE, INC | WEDBUSH SECURITIES, INC. | WEDBUSH SECURITIES INC. | WEDBUSH PACGROW
CRD#: 877 / SEC#: 801-6358, 8-12987
RIA
Registered Investment Advisory firm - SEC (2/27/1970 Approved)California
Registered Investment Advisory firm - SEC (8/28/2006 Cancelled)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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
IAR
California(8/16/2021)
RR
California(8/17/2021)
RR
Colorado(8/16/2021)
RR
Georgia(7/2/2025)
RR
Hawaii(8/18/2021)
RR
Massachusetts(8/14/2024)
RR
Minnesota(11/30/2021)
RR
Nevada(7/2/2025)
RR
Washington(9/24/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
WEDBUSH SECURITIES INC.
WEDBUSH MORGAN SECURITIES INC. | WEDBUSH, NOBLE, COOKE, INC | WEDBUSH SECURITIES, INC. | WEDBUSH SECURITIES INC. | WEDBUSH PACGROW
CRD#: 877 / SEC#: 801-6358, 8-12987
RIA
Registered Investment Advisory firm - SEC (2/27/1970 Approved)California
Registered Investment Advisory firm - SEC (8/28/2006 Cancelled)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
225 S. Lake Ave Penthouse 225 S. Lake Ave Penthouse, Pasadena, CA 91101
Mailing Address
225 S. Lake Ave Penthouse Attn: Compliance, Pasadena, CA 91101
Phone number
(213) 688-8000
Established
California since 07/08/1966
Firm type
Corporation
Fiscal year end
June
Firm Size
Large
# of Employees
897
SEC notice filing (53 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WEDBUSH FINANCIAL SERVICES, LLC | OWNER | |
| BILLINGS, DANIEL ERIC | EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, DIRECTOR | 4568232 |
| BLAND, GEOFFREY CONOR | DIRECTOR | 7358773 |
| DEMPSEY, FRANCIS BURKE | EXECUTIVE VICE PRESIDENT | 2428325 |
| DRUCH, ANDREW WALTER | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, CHIEF ADMINISTRATIVE OFFICER, DIRECTOR | 1688071 |
| FITZSIMMONS, ROBERT GERARD | EXECUTIVE VICE PRESIDENT | 1878661 |
| FRAUNCES, KIRSTEN CAMPBELL | EXECUTIVE VICE PRESIDENT | 2933930 |
| HULTGREN, DONALD WAYNE | EXECUTIVE CHAIR, DIRECTOR | 1475369 |
| MONE, CHRISTOPHER MICHAEL | EXECUTIVE VICE PRESIDENT | 2401952 |
| PARRODE, RODRIGO NMN | EVP, CHIEF OPERATING OFFICER | 4905345 |
| PASET, ROBERT EDWARD | EXECUTIVE VICE PRESIDENT | 1055902 |
| PRESTON, ERIN KATHLEEN | CHIEF COMPLIANCE OFFICER | 5314250 |
| WEDBUSH, GARY LANCE | PRESIDENT, DIRECTOR | 2234455 |
Regulatory assets under management
| Total Number of Accounts | 10,048 |
| AUM (Assets Under Management) | $ 5,684,848,455 |
Disclosures
| Regulatory Event | 147 |
| Civil Event | 3 |
| Arbitration | 60 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2024 | ||
| 04/26/2024 | ||
| 12/21/2022 |
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.
