Matthew E. Miller

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CRD#: 1528788

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.

Matthew Eric Miller was a registered financial professional .

Matthew is a previously registered financial professional and started their career in finance in 1986. Matthew had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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 HESS AGENCY, EMPLOYEE, INSURANCE AGENCY; FIXED INSURANCE - LIFE, HEALTH, DISABILITY, ANNUITIES AND MEDICARE SUPPLEMENTS

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

June 29, 2023 - July 1, 2024

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

MANHEIM, PA

Past

January 23, 2004 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

MANHEIM, PA

Past

May 1, 2003 - July 1, 2024

CETERA WEALTH SERVICES, LLC

CRD#: 13572

MANHEIM, PA

Past

August 28, 2001 - May 1, 2003

T.H.E. FINANCIAL GROUP, LTD

CRD#: 14720

MECHANICSBURG, PA

Past

March 20, 1998 - August 24, 2001

NATHAN & LEWIS SECURITIES, INC.

CRD#: 8503

NEW YORK, NY

Past

January 8, 1992 - August 29, 1997

T.H.E. FINANCIAL GROUP, LTD

CRD#: 14720

MECHANICSBURG, PA

Past

May 15, 1990 - December 5, 1991

HOMESTEAD CAPITAL CORPORATION

CRD#: 21906

Past

July 12, 1989 - May 15, 1990

ASSET MANAGEMENT EQUITIES, LTD.

CRD#: 21604

Past

April 20, 1987 - July 10, 1989

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

Past

August 14, 1986 - May 1, 1987

OLD SLIP CAPITAL MANAGEMENT, INC.

CRD#: 7360

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/6/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/13/1986

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: 6/20/1987

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/13/1986

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Matthew E. Miller

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

T.H.E. FINANCIAL GROUP, LTD

NATHAN & LEWIS SECURITIES, INC.

T.H.E. FINANCIAL GROUP, LTD

HOMESTEAD CAPITAL CORPORATION

ASSET MANAGEMENT EQUITIES, LTD.

FSC SECURITIES CORPORATION

OLD SLIP CAPITAL MANAGEMENT, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/6/1999

Series 63

Date: 8/13/1986

SIE

Date: 10/1/2018

Series 7

Date: 6/20/1987

Series 6

Date: 8/13/1986

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

Contact information

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