Charles J. Miller

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CRD#: 1300147

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.

Charles Jay Miller was a registered financial professional .

Charles is a previously registered financial professional and started their career in finance in 1984. Charles had worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 22 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 1, 2011 - June 6, 2017

ALPS DISTRIBUTORS, INC.

CRD#: 16853

DENVER, CO

Past

January 3, 2007 - August 1, 2011

FORESIDE FUND SERVICES, LLC

CRD#: 46106

PORTLAND, ME

Past

April 16, 1997 - December 20, 2005

SENTINEL FINANCIAL SERVICES COMPANY

CRD#: 31175

MONTPELIER, VT

Past

April 11, 1997 - April 15, 1997

EQUITY SERVICES, INC.

CRD#: 265

MONTPELIER, VT

Past

March 21, 1996 - April 10, 1997

USLIFE EQUITY SALES CORP.

CRD#: 7962

NEW YORK, NY

Past

April 10, 1995 - September 29, 1995

VOYA INVESTMENTS DISTRIBUTOR, LLC

CRD#: 37886

WINDSOR, CT

Past

January 26, 1994 - April 10, 1995

ASTRA FUND DISTRIBUTORS CORP.

CRD#: 6930

LOS ANGELES, CA

Past

February 11, 1992 - August 17, 1992

ARMATA FINANCIAL CORP.

CRD#: 6666

BALTIMORE, MD

Past

December 5, 1990 - December 24, 1991

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

May 18, 1990 - February 13, 1991

SMH CAPITAL INVESTMENTS LLC

CRD#: 24535

FT. WORTH, TX

Past

September 25, 1984 - October 19, 1989

PSI SECURITIES CORPORATION

CRD#: 10322

GLENDALE, CA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 6/13/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 6/6/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/16/1985

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 9/24/1984

Direct Participation Programs Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/12/1994

General Securities Principal Examination

Current Firm

ALPS DISTRIBUTORS, INC.

ALPS DISTRIBUTORS, INC. | MARINER FUNDS SERVICES INC. | ALPS SECURITIES, INC. | ALPS MUTUAL FUNDS SERVICES, INC.

CRD#: 16853 / SEC#: , 8-34626

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

1290 Broadway Suite 1000, Denver, CO 80203

Mailing Address

1290 Broadway Suite 1000, Denver, CO 80203

Phone number

(303) 623-2577

Established

Colorado since 07/01/1985

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
ALPS HOLDINGS, INC.	PARENT
KYLLO, STEPHEN JOHN	SVP; PRESIDENT; DIRECTOR; CHIEF COMPLIANCE OFFICER; PRINCIPAL OPERATIONS OFFICER	3204474
NECKEL, TARA JILL	VP, DEPUTY CHIEF COMPLIANCE OFFICER	4051739
PARSONS, ERIC T	FINOP, CONTROLLER, PRINCIPAL FINANCIAL OFFICER	5215115

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Charles J. Miller

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FORESIDE FUND SERVICES, LLC

SENTINEL FINANCIAL SERVICES COMPANY

EQUITY SERVICES, INC.

USLIFE EQUITY SALES CORP.

VOYA INVESTMENTS DISTRIBUTOR, LLC

ASTRA FUND DISTRIBUTORS CORP.

ARMATA FINANCIAL CORP.

OSAIC WEALTH, INC.

SMH CAPITAL INVESTMENTS LLC

PSI SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 6/13/1985

SIE

Date: 6/6/2017

Series 7

Date: 2/16/1985

Series 22

Date: 9/24/1984

Series 24

Date: 10/12/1994

Current Firm

ALPS DISTRIBUTORS, INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ALPS DISTRIBUTORS, INC.

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