Ann I. Miller

AFFINITY CAPITAL, L.P.

HOUSTON, TX 77019

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CRD#: 1146643

Professional summary

Ann Iris Miller is a registered financial advisor currently at AFFINITY CAPITAL, L.P. located in Houston, Texas.

Ann is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Ann has worked at 4 firms and has passed the Series 65, Series 63 and Series 7 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.

NASD ARBITRATOR SINCE NOVEMBER 1996 FOR APPROXIMATELY 3 HOURS PER MONTH DURING SECURITIES TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ann Iris 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®

None

Experience

Current

February 1, 2008 - Present

AFFINITY CAPITAL, L.P.

Office #1: 2929 Allen Parkway Suite 200, Houston, TX 77019

RIA

CRD#: 109118

HOUSTON, TX

Past

April 30, 2003 - December 31, 2007

AFFINITY CAPITAL, L.P.

RIA

CRD#: 109118

HOUSTON, TX

Past

November 22, 1995 - December 31, 2002

AFFINITY CAPITAL, L.P.

RIA

CRD#: 109118

HOUSTON, TX

Past

March 16, 1990 - October 31, 1995

RAUSCHER PIERCE REFSNES, INC.

CRD#: 6663

DALLAS, TX

Past

December 17, 1984 - February 9, 1990

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

September 2, 1983 - December 26, 1984

MORGAN STANLEY DW INC.

CRD#: 7556

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.

Highlighted states indicate IAR registrations

IAR

Texas
(2/1/2008)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/12/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/15/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/16/1983

General Securities Representative Examination

Current Firm

AFFINITY CAPITAL, L.P.

A MILLER INVESTMENT ADVISORS, INC. | MILLER A INVESTMENT ADVISORS INC | AFFINITY CAPITAL, L.P. | A. MILLER INVESTMENT ADVISORS, L.P.

CRD#: 109118 / SEC#: 801-55519

RIA

Registered Investment Advisory firm - (7/25/2012 Terminated)

Texas

Registered Investment Advisory firm - (7/24/2012 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

2929 Allen Parkway Suite 200, Houston, TX 77019

Mailing Address

Phone number

(713) 238-6730

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	181
AUM (Assets Under Management)	$ 99,520,930

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.

Contact information

xxxxx@xxxx.xxx

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Ann I. Miller

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ann Iris Miller's CRS (Customer Relationship Summary).

Certified licenses

Experience

AFFINITY CAPITAL, L.P.

AFFINITY CAPITAL, L.P.

AFFINITY CAPITAL, L.P.

RAUSCHER PIERCE REFSNES, INC.

CITIGROUP GLOBAL MARKETS INC.

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/12/1995

Series 63

Date: 8/15/1983

Series 7

Date: 7/16/1983

Current Firm

AFFINITY CAPITAL, L.P.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

AFFINITY CAPITAL, L.P.

TRUST BUT VERIFY

Contact information

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