DM
Douglas S. Miller
CSP FINANCIAL GROUP LLC
Scottsdale, AZ 85260
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CRD#: 1156146
DM
Professional summary
Douglas Shattuck Miller, who also goes by Doug Miller, is a registered financial advisor currently at CSP FINANCIAL GROUP LLC located in Scottsdale, Arizona.
Douglas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Douglas has worked at 11 firms and has passed the Series 66, Series 63, Series 7 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Doug Miller
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.
LIFETYME FINANCIAL GROUP, LLC; SCOTTSDALE, AZ; INVESTMENT RELATED; INSURANCE AGENT; INSURANCE SALES AND SERVICES; START 09/2019; 120 HOURS PER MONTH/120 HOURS DURING TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Douglas Shattuck 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
April 19, 2024 - Present
CSP FINANCIAL GROUP LLC
Office #1: 14300 North Northsight Blvd Suite 120, Scottsdale, AZ 85260RIA
CRD#: 310819
Scottsdale, AZ
Past
October 11, 2019 - March 21, 2024
LIFETYME FINANCIAL ADVISORS, LLC
RIA
CRD#: 159809
SCOTTSDALE, AZ
Past
April 6, 2018 - September 19, 2019
BRIDGELIGHT CAPITAL LLC
RIA
CRD#: 154920
SCOTTSDALE, AZ
Past
December 21, 2012 - March 2, 2018
360 WEALTH MANAGEMENT, INC.
RIA
CRD#: 127589
SCOTTSDALE, AZ
Past
October 27, 2011 - November 1, 2012
SII INVESTMENTS, INC.
RIA
CRD#: 2225
SCOTTSDALE, AZ
Past
October 18, 2011 - November 1, 2012
SII INVESTMENTS, INC.
BD
CRD#: 2225
SCOTTSDALE, AZ
Past
August 3, 2009 - January 6, 2010
FOOTHILL SECURITIES, INC.
BD
CRD#: 1027
PHOENIX, AZ
Past
January 1, 2001 - January 6, 2010
CUE FINANCIAL GROUP, INC.
RIA
CRD#: 21033
PHOENIX, AZ
Past
June 24, 1994 - August 3, 2009
CUE FINANCIAL GROUP, INC.
BD
CRD#: 21033
PHOENIX, AZ
Past
September 25, 1992 - June 24, 1994
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
LOS ANGELES, CA
Past
August 28, 1991 - March 5, 1992
FOX & COMPANY INVESTMENTS INC.
BD
CRD#: 18517
SCOTTSDALE, AZ
Past
March 5, 1986 - August 19, 1989
KORN, WOMACK, STERN AND ASSOCIATES, INC.
BD
CRD#: 16933
Past
July 21, 1983 - March 13, 1986
CONSOLIDATED INVESTMENT SERVICES, INC.
BD
CRD#: 7929
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".
CF
CSP FINANCIAL GROUP LLC
CSP FINANCIAL GROUP LLC
CRD#: 310819 / SEC#: 801-128346
RIA
Registered Investment Advisory firm - (7/14/2023 Approved)Arizona
Registered Investment Advisory firm - (7/17/2023 Terminated)California
Registered Investment Advisory firm - (8/16/2023 Terminated)District of Columbia
Registered Investment Advisory firm - (7/17/2023 Terminated)Florida
Registered Investment Advisory firm - (7/17/2023 Terminated)Georgia
Registered Investment Advisory firm - (7/17/2023 Terminated)Iowa
Registered Investment Advisory firm - (7/17/2023 Terminated)Louisiana
Registered Investment Advisory firm - (7/18/2023 Terminated)Maryland
Registered Investment Advisory firm - (8/8/2023 Terminated)New York
Registered Investment Advisory firm - (7/17/2023 Terminated)North Carolina
Registered Investment Advisory firm - (8/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - (10/3/2023 Terminated)South Carolina
Registered Investment Advisory firm - (7/17/2023 Terminated)Tennessee
Registered Investment Advisory firm - (7/17/2023 Terminated)Texas
Registered Investment Advisory firm - (7/17/2023 Terminated)Virginia
Registered Investment Advisory firm - (7/22/2023 Terminated)West Virginia
Registered Investment Advisory firm - (7/24/2023 Terminated)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
Arizona(5/29/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
CF
CSP FINANCIAL GROUP LLC
CSP FINANCIAL GROUP LLC
CRD#: 310819 / SEC#: 801-128346
RIA
Registered Investment Advisory firm - (7/14/2023 Approved)Arizona
Registered Investment Advisory firm - (7/17/2023 Terminated)California
Registered Investment Advisory firm - (8/16/2023 Terminated)District of Columbia
Registered Investment Advisory firm - (7/17/2023 Terminated)Florida
Registered Investment Advisory firm - (7/17/2023 Terminated)Georgia
Registered Investment Advisory firm - (7/17/2023 Terminated)Iowa
Registered Investment Advisory firm - (7/17/2023 Terminated)Louisiana
Registered Investment Advisory firm - (7/18/2023 Terminated)Maryland
Registered Investment Advisory firm - (8/8/2023 Terminated)New York
Registered Investment Advisory firm - (7/17/2023 Terminated)North Carolina
Registered Investment Advisory firm - (8/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - (10/3/2023 Terminated)South Carolina
Registered Investment Advisory firm - (7/17/2023 Terminated)Tennessee
Registered Investment Advisory firm - (7/17/2023 Terminated)Texas
Registered Investment Advisory firm - (7/17/2023 Terminated)Virginia
Registered Investment Advisory firm - (7/22/2023 Terminated)West Virginia
Registered Investment Advisory firm - (7/24/2023 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
14300 North Northsight Blvd Suite 120, Scottsdale, AZ 85260
Mailing Address
Phone number
(480) 600-9626
Established
Firm type
Fiscal year end
# of Employees
19
SEC notice filing (29 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 186 |
| AUM (Assets Under Management) | $ 30,345,692 |
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.
