Terrence L. 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.
Terrence Lester Miller, CFP®, CIMA®, who also goes by Terrence Lester Miller, Terrence Miller, Terry L Miller, Terry Lester Miller, Terry Miller, Terrence L Miller, was a registered financial professional .
Terrence is a previously registered financial professional and started their career in finance in 2000. Terrence had worked at 10 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 30, 2020 - November 5, 2021
VANGUARD ADVISERS, INC.
July 30, 2020 - November 5, 2021
VANGUARD MARKETING CORPORATION
May 16, 2019 - June 12, 2020
ONEAMERICA SECURITIES, INC.
May 16, 2019 - June 12, 2020
ONEAMERICA SECURITIES, INC.
December 20, 2017 - January 7, 2019
EQUITABLE ADVISORS, LLC
November 16, 2017 - January 7, 2019
EQUITABLE ADVISORS, LLC
September 15, 2011 - September 9, 2015
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
June 1, 2009 - September 16, 2009
MORGAN STANLEY
May 1, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
December 3, 2002 - December 13, 2005
ALLIANCEBERNSTEIN INVESTMENTS, INC.
December 4, 2000 - November 21, 2001
CITIGROUP GLOBAL MARKETS INC.
February 17, 2000 - May 24, 2000
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
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
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.
