Charles K. Miller

VALLEY WEALTH MANAGERS

Coral Gables, FL 33145

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CRD#: 1510072

Professional summary

Charles K Miller, who also goes by Charles Kevin Miller, is a registered financial advisor currently at VALLEY WEALTH MANAGERS, INC. located in Coral Gables, Florida and VALLEY FINANCIAL MANAGEMENT, INC. located in Coral Gables, Florida.

Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Charles has worked at 13 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Charles Kevin 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.

1.) Hole in One Enterprises, LLC. This is not investment related. The address is: 8269 SW 173rd Terr. Palmetto Bay, FL 33157. This is simply an LLC I established to hold personal real estate holdings for Trust/Estate planning, and Asset Protection purposes. I am the President/Managing Member. Start date: 04/26/2024. I devote approximately 2 hours per month to this business, none of which is during trading hours. 2.) Baptist Health South Miami Hospital. This is not investment related. The address is: 6200 SW 73rd Street, Miami, FL 33143. This is a Medical Hospital. Associate Board Member. Start date: 1/2009. I devote approximately 7 hours per month to this entity, none of which is during trading hours. This position is strictly voluntary. In this role, I primarily help coordinate and plan various fund-raising events for the hospital.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles K Miller's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

CRD#: 14023

CORAL GABLES, FL

Past

November 18, 2021 - February 5, 2024

SYNOVUS SECURITIES, INC.

CRD#: 14023

CORAL GABLES, FL

Past

April 6, 2021 - November 22, 2021

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

MIAMI, FL

Past

April 5, 2021 - November 22, 2021

EQUITABLE ADVISORS, LLC

CRD#: 6627

MIAMI, FL

Past

November 8, 2018 - January 31, 2020

CRD#: 34941

FRANKLIN, TN

Past

February 28, 2003 - June 16, 2004

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

MIAMI, FL

Past

February 20, 2003 - June 16, 2004

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

December 21, 1995 - February 18, 2003

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, NY

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".

VALLEY WEALTH MANAGERS, INC.

HALLMARK CAPITAL MANAGEMENT | VALLEY WEALTH MANAGERS, INC. | NEW CENTURY ASSET MANAGEMENT | HALLMARK CAPITAL MANAGEMENT INC

CRD#: 108879 / SEC#: 801-25461

RIA

Registered Investment Advisory firm - (10/11/1985 Approved)

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.

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

Florida
(2/25/2025)

IAR

Florida
(3/10/2025)

Texas
(2/25/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/15/2020

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 8/21/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/17/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/20/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/29/2011

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

VALLEY WEALTH MANAGERS, INC.

HALLMARK CAPITAL MANAGEMENT | VALLEY WEALTH MANAGERS, INC. | NEW CENTURY ASSET MANAGEMENT | HALLMARK CAPITAL MANAGEMENT INC

CRD#: 108879 / SEC#: 801-25461

RIA

Registered Investment Advisory firm - (10/11/1985 Approved)

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Contact information

Main Address

80 East Ridgewood Ave Suite 3, Paramus, NJ 07652

Mailing Address

Phone number

(888) 794-7940

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (25 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

VWM FORM ADV PART 2A (3/28/2025)

VWM WRAP FEE PROGRAM BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	1,957
AUM (Assets Under Management)	$ 2,317,257,859

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/25/2024	Cover Page	Report
09/07/2023	Cover Page	Report
10/04/2022	Cover Page	Report

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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Charles K. Miller

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles K Miller's CRS (Customer Relationship Summary).

Certified licenses

Experience

VALLEY FINANCIAL MANAGEMENT, INC.

SYNOVUS SECURITIES, INC.

SYNOVUS SECURITIES, INC.

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

OSAIC INSTITUTIONS, INC.

IDB CAPITAL CORP.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

PFIC ADVISORS, INC.

PFIC SECURITIES CORPORATION

MORGAN KEEGAN & COMPANY, LLC

MORGAN KEEGAN & COMPANY, LLC

PFIC SECURITIES CORPORATION

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

CITICORP INVESTMENT SERVICES

Primary Firm SEC Registration

VALLEY WEALTH MANAGERS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/15/2020

Series 65

Date: 8/21/2002

Series 63

Date: 1/17/1996

SIE

Date: 10/1/2018

Series 7

Date: 12/20/1995

Series 24

Date: 8/29/2011

FINRA

Current Firm

VALLEY WEALTH MANAGERS, INC.

Contact information

SEC notice filing (25 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

VALLEY WEALTH MANAGERS, INC.

TRUST BUT VERIFY

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