MM
Mark A. Miller
MILLER CAPITAL
TROY, MI 48098
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CRD#: 1516573
MM
Professional summary
Mark Alan Miller, who also goes by Mark A Miller, is a registered financial advisor currently at MILLER CAPITAL located in Troy, Michigan.
Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Mark has worked at 4 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mark A 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 INVESTMENT ADVISER REPRESENTATIVE (IAR) CURRENTLY SERVES AS A CO-TRUSTEE (IN HIS INDIVIDUAL NAME) FOR SEVERAL TRUSTS, INCLUDING PERSONAL FAMILY TRUSTS. AS CO-TRUSTEE, SOME INVESTMENT RELATED RESPONSIBILITIES ARISE, INCLUDING PLANNING, TRADING, AND MONITORING. ALL CO-TRUSTEE OPERATIONS ARE CONDUCTED AT THE OFFICE AND THROUGH THE ADDRESS OF MILLER CAPITAL. THE START DATE FOR CO-TRUSTEE RELATIONSHIPS WAS JUNE 2000 THROUGH THE PRESENT. IT IS ESTIMATED THAT FIVE TO TEN HOURS PER MONTH ARE RELATED TO TRUSTEE RESPONSIBILITIES, WITH MOST HOURS OCCURRING OUTSIDE OF SECURITIES TRADING HOURS. ALTHOUGH MILLER CAPITAL IS NOT PERMITTED TO SERVE AS A TRUSTEE OR EXECUTOR, IT DOES PERMIT QUALIFIED PROFESSIONALS OF THE FIRM TO SERVE IN THESE TYPES OF FIDUCIARY ROLES FOR INDIVIDUALS, TRUSTS AND ESTATES, BUT ONLY: UPON REQUEST OF THE INDIVIDUAL, TRUST, OR ESTATE, BASED ON A PRE-EXISTING RELATIONSHIP WITH THE PROFESSIONAL WHICH IS UNRELATED TO THEIR RELATIONSHIP WITH AN INVESTEMENT ADVISOR, WITHOUT SOLICITATION BY THE FIRM OR THE PROFESSIONAL, SUBJECT TO APPROVAL BY THE FIRM. MILLER CAPITAL CONSIDERS FIDUCIARY SERVICES PROVIDED BY A PROFESSIONAL OF THE FIRM TO BE A PERSONAL SERVICE IN THEIR INDIVIDUAL CAPACITY, AND THE SOLE RESPONSIBILITY OF THE PROFESSIONAL. HOWEVER, FIRM POLICIES AND PROCEDURES MUST BE FOLLOWED FOR ALL PERSONAL FIDUCIARY APPOINTMENTS, INCLUDING THE GUIDELINES OF OUR COMPLIANCE PROGRAM AND CODE OF ETHICS. FOR THIS REASON, THE FIRM MUST BE PROVIDED WITH ALL APPLICABLE INFORMATION ON THE INVESTMENT OPERATIONS RELATED TO THE FIDUCIARY RELATIONSHIP SO THAT THE FIRM CAN MONITOR COMPLIANCE WITH ITS COMPLIANCE PROGRAM AND CODE OF ETHICS. TO ASSIST THE FIRM IN REVIEWING ADHERENCE TO IT'S COMPLIANCE PROGRAM AND CODE OF ETHICS BY PROFESSIONALS OF THE FIRM THAT ARE PROVIDING FIDUCIARY SERVICES IN AN INDIVIDUAL CAPACITY, THE FIRM REQUESTS FIDUCIARY ASSETS TO BE ACCOUNTED FOR USING ITS PORTFOLIO MANAGEMENT SYSTEM AND OTHER FIRM RESOURCES IN CARRYING OUT THEIR FIDUCIARY OBLIGATIONS, THE PROFESSIONAL MUST DISCLOSE IN WRITING THAT MILLER CAPITAL IS NOT A PARTY TO THE FIDUCIARY SERVICES AND IS NOT RESPONSIBLE FOR PROVIDING ANY MONITORING OR REVIEW OF SUCH FIDUCIARY SERVICES. THE PURPOSE OF THIS REQUIRED DISCLOSURE IS TO CLEARLY COMMUNICATE TO THE INTERESTED PARTIES IN THE FIDUCIARY RELATIONSHIP THAT MILLER CAPITAL IS NOT INVOLVED IN A PROFESSIONAL RELATIONSHIP WITH THEM AND IS NOT WORKING ON THEIR BEHALF. WHILE ALL FEES RELATED TO THE FIDUCIARY APPOINTMENT BECOME THE PROPERTY OF THE FIRM UNDER OUR POLICIES AND PROCEDURES, MILLER CAPITAL RETAINS NO DUTY TO SUPERVISE THE PROFESSIONAL'S FIDUCIARY SERVICES PROVIDED IN AN INDIVIDUAL CAPACITY, EVEN IF PROVIDED FOR AN INDIVIDUAL THAT IS ALSO A CLIENT OF THE FIRM. BECAUSE THE FIRM RECEIVES INFORMATION ON THE FIDUCIARY INVESTMENT ACTIVITY FOR COMPLIANCE PURPOSES, THE FIRM LISTS THE FIDUCIARY ACCOUNTS IN THEIR FILING WITH THE SECURITIES AND EXCHANGE COMMISSION, FORM ADV, PART I. HOWEVER, THIS FILING DISCLOSES THE NUMBER OF ACCOUNTS AND VALUE OF ACCOUNTS THAT ARE RELATED TO FIDUCIARY SERVICES PROVIDED BY A PROFESSIONAL OF THE FIRM IN AN INDIVIDUAL CAPACITY AND THEREFORE ARE NOT SUPPORTED BY AN INVESTMENT AGREEMENT WITH MILLER CAPITAL.
CRS (Client Relationship Summary) - RIA
Click below to view Mark Alan 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®
NoneExperience
Current
October 8, 2010 - Present
MILLER CAPITAL
Office #1: 5600 New King Drive Suite 220, Troy, MI 48098RIA
CRD#: 124489
TROY, MI
Past
January 4, 1991 - November 7, 1991
RELIASTAR FINANCIAL MARKETING CORP.
BD
CRD#: 4234
Past
October 12, 1989 - November 27, 1990
SECURITIES AMERICA, INC.
BD
CRD#: 10205
Past
August 19, 1986 - October 31, 1989
PW SECURITIES, INC.
BD
CRD#: 6775
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".
MC
MILLER CAPITAL
MILLER CAPITAL | MILLER CAPITAL PARTNERS, INC. | MILLER CAPITAL PARTNERS
CRD#: 124489 / SEC#: 801-64489
RIA
Registered Investment Advisory firm - (7/15/2005 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.Highlighted states indicate IAR registrations
IAR
Michigan(10/8/2010)
Exams
State Security Law Exam
General Industry/Product Exam
Current Firm
MC
MILLER CAPITAL
MILLER CAPITAL | MILLER CAPITAL PARTNERS, INC. | MILLER CAPITAL PARTNERS
CRD#: 124489 / SEC#: 801-64489
RIA
Registered Investment Advisory firm - (7/15/2005 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5600 New King Drive Suite 220, Troy, MI 48098
Mailing Address
Phone number
(248) 901-1650
Established
Firm type
Fiscal year end
# of Employees
4
SEC notice filing (1 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 195 |
| AUM (Assets Under Management) | $ 240,413,927 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
