Rodney B. 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.
Rodney Blane Miller, who also goes by Rod Miller, was a registered financial professional .
Rodney is a previously registered financial professional and started their career in finance in 1985. Rodney had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 22, Series 6, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 12, 2018 - November 18, 2020
KESTRA INVESTMENT SERVICES, LLC
August 13, 2012 - November 1, 2018
CETERA INVESTMENT ADVISERS LLC
August 13, 2012 - November 1, 2018
CETERA FINANCIAL SPECIALISTS LLC
July 7, 2011 - July 25, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 29, 2011 - July 25, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 20, 2000 - February 17, 2010
KESTRA INVESTMENT SERVICES, LLC
March 1, 1996 - August 16, 2000
MML INVESTORS SERVICES, LLC
July 13, 1993 - December 6, 1995
JOHN HANCOCK DISTRIBUTORS LLC
January 22, 1993 - March 1, 1996
G. R. PHELPS & CO., INC.
June 29, 1988 - February 9, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
June 29, 1988 - February 9, 1993
PRUCO SECURITIES, LLC.
November 6, 1987 - June 21, 1988
MML INVESTORS SERVICES, LLC
January 25, 1985 - November 13, 1987
PRUCO SECURITIES, LLC.
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
Current Firm
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046 / SEC#: , 8-49672
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
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.
