Thomas F. 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.
Thomas Frederick Miller, CFP®, who also goes by Thomas F Miller, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1985. Thomas had worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7, Series 24, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 22, 2019 - February 22, 2021
VANGUARD ADVISERS, INC.
September 27, 2010 - February 22, 2021
VANGUARD MARKETING CORPORATION
January 22, 2010 - October 11, 2010
ALIGHT FINANCIAL SOLUTIONS, LLC
January 22, 2010 - October 11, 2010
ALIGHT FINANCIAL SOLUTIONS, LLC
August 15, 2007 - September 24, 2008
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
April 27, 2007 - September 24, 2008
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
May 5, 2004 - March 28, 2007
CUNA BROKERAGE SERVICES, INC.
February 21, 1985 - December 31, 2002
CHARLES SCHWAB & CO., INC.
Primary Firm SEC Registration
VANGUARD ADVISERS, INC.
CRD#: 106715 / SEC#: 801-49601
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
Series 7TO
Date: 1/17/2024
General Securities Representative ExaminationSeries 8
Date: 5/2/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
VANGUARD ADVISERS, INC.
CRD#: 106715 / SEC#: 801-49601
Contact information
SEC notice filing (53 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 698,843 |
| AUM (Assets Under Management) | $ 300,434,933,763 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/24/2025 | ||
| 10/23/2024 | ||
| 06/28/2023 |
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.
