DM
Daryl K. Miller
CONTINENTAL INVESTORS SERVICES
Renton, WA
Some features on this profile are disabled
CRD#: 1331381
DM
Professional summary
Daryl Kim Miller, CFP®, who also goes by D Kim Miller, Kim Miller, is a registered financial advisor currently at CONTINENTAL INVESTORS SERVICES, INC. located in Renton, Washington.
Daryl is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Daryl has worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 7TO, Series 7, Series 51, Series 24 and Series 28 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
D Kim Miller | Kim 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Daryl Kim Miller's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Daryl Kim 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®
CFP®
Start date: 2006
Experience
Current
February 7, 2019 - Present
CONTINENTAL INVESTORS SERVICES, INC.
RIA
BD
CRD#: 29775
Renton, WA
Current
May 13, 2019 - Present
CONTINENTAL INVESTORS SERVICES, INC.
Office #1: 1330 Broadway Street P.o. Box 1717, Longview, WA 98632-7552RIA
BD
CRD#: 29775
Longview, WA
Past
May 25, 2007 - February 6, 2019
SWEETWATER INVESTMENTS INC
RIA
CRD#: 107493
REDMOND, WA
Past
April 8, 2004 - March 6, 2007
RA BENCH, INC
RIA
CRD#: 108011
SEATTLE, WA
Past
March 5, 2004 - March 6, 2007
OSAGE INVESTMENTS, INC.
BD
CRD#: 118539
SEATTLE, WA
Past
February 7, 2000 - January 7, 2005
FINANCIAL RESOURCES GROUP
RIA
CRD#: 116897
BELLEVUE, WA
Past
June 30, 1998 - March 2, 2004
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
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".
CI
CONTINENTAL INVESTORS SERVICES, INC.
CIS-WEALTH MANAGEMENT-A DIVISION OF CIS | CONTINENTAL INVESTORS SERVICES, INC.
CRD#: 29775 / SEC#: 801-122737, 8-44523
RIA
Registered Investment Advisory firm - SEC (11/22/2021 Approved)Alaska
Registered Investment Advisory firm - SEC (3/24/2023 Terminated)Arizona
Registered Investment Advisory firm - SEC (3/21/2023 Terminated)California
Registered Investment Advisory firm - SEC (4/20/2023 Terminated)Georgia
Registered Investment Advisory firm - SEC (4/18/2023 Terminated)Idaho
Registered Investment Advisory firm - SEC (3/21/2023 Terminated)Nevada
Registered Investment Advisory firm - SEC (4/20/2023 Terminated)New York
Registered Investment Advisory firm - SEC (3/21/2023 Terminated)North Dakota
Registered Investment Advisory firm - SEC (12/7/2023 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (3/21/2023 Terminated)Oregon
Registered Investment Advisory firm - SEC (4/3/2023 Terminated)Texas
Registered Investment Advisory firm - SEC (3/21/2023 Terminated)Utah
Registered Investment Advisory firm - SEC (3/21/2023 Terminated)Washington
Registered Investment Advisory firm - SEC (4/24/2023 Terminated)Wyoming
Registered Investment Advisory firm - SEC (3/21/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver 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
RR
Alaska(5/30/2019)
RR
Arizona(5/30/2019)
IAR
Arizona(12/13/2019)
RR
California(5/30/2019)
RR
Colorado(5/30/2019)
RR
Idaho(5/30/2019)
RR
Minnesota(5/30/2019)
RR
Nevada(5/30/2019)
IAR
Nevada(3/25/2021)
RR
Ohio(1/6/2021)
RR
Oregon(5/30/2019)
IAR
Oregon(8/10/2023)
RR
Pennsylvania(11/14/2019)
RR
South Dakota(1/19/2022)
RR
Texas(10/8/2019)
IAR
Washington(2/7/2019)
RR
Washington(5/21/2019)
RR
Wisconsin(5/30/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/24/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 28
Date: 3/26/2004
Introducing Broker/Dealer Financial Operations Principal ExaminationSRO Registrations
RR
FINRA
Current Firm
CI
CONTINENTAL INVESTORS SERVICES, INC.
CIS-WEALTH MANAGEMENT-A DIVISION OF CIS | CONTINENTAL INVESTORS SERVICES, INC.
CRD#: 29775 / SEC#: 801-122737, 8-44523
RIA
Registered Investment Advisory firm - SEC (11/22/2021 Approved)Alaska
Registered Investment Advisory firm - SEC (3/24/2023 Terminated)Arizona
Registered Investment Advisory firm - SEC (3/21/2023 Terminated)California
Registered Investment Advisory firm - SEC (4/20/2023 Terminated)Georgia
Registered Investment Advisory firm - SEC (4/18/2023 Terminated)Idaho
Registered Investment Advisory firm - SEC (3/21/2023 Terminated)Nevada
Registered Investment Advisory firm - SEC (4/20/2023 Terminated)New York
Registered Investment Advisory firm - SEC (3/21/2023 Terminated)North Dakota
Registered Investment Advisory firm - SEC (12/7/2023 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (3/21/2023 Terminated)Oregon
Registered Investment Advisory firm - SEC (4/3/2023 Terminated)Texas
Registered Investment Advisory firm - SEC (3/21/2023 Terminated)Utah
Registered Investment Advisory firm - SEC (3/21/2023 Terminated)Washington
Registered Investment Advisory firm - SEC (4/24/2023 Terminated)Wyoming
Registered Investment Advisory firm - SEC (3/21/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
1330 Broadway Street, Longview, WA 98632
Mailing Address
P.o. Box 888, Longview, WA 98632-7552
Phone number
(360) 423-5110
Established
Washington since 12/16/1991
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees
14
SEC notice filing (18 States and Territories)
FINRA licenses (42 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 605 |
| AUM (Assets Under Management) | $ 196,792,432 |
Disclosures
| Regulatory Event | 3 |
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.
