Timothy R. 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.
Timothy Robert Miller, who also goes by Tim Miller, Timothy R Miller, Timothy Miller, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1987. Timothy had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6, Series 53 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
November 10, 2010 - March 6, 2020
AMERITAS INVESTMENT COMPANY, LLC
November 1, 2010 - March 6, 2020
AMERITAS INVESTMENT COMPANY, LLC
February 9, 2009 - November 3, 2010
1ST GLOBAL ADVISORS INC
February 9, 2009 - November 3, 2010
1ST GLOBAL CAPITAL CORP.
June 13, 2008 - December 31, 2008
WOODBURY FINANCIAL SERVICES, INC.
June 13, 2008 - February 11, 2009
WOODBURY FINANCIAL SERVICES, INC.
April 11, 2008 - February 24, 2009
HIMCO DISTRIBUTION SERVICES COMPANY
July 10, 2007 - February 20, 2008
ALLSTATE FINANCIAL SERVICES, LLC
June 16, 2006 - July 25, 2007
1ST GLOBAL ADVISORS INC
June 16, 2006 - July 25, 2007
1ST GLOBAL CAPITAL CORP.
July 22, 2004 - June 22, 2006
AMERITAS INVESTMENT COMPANY, LLC
November 14, 2001 - June 22, 2006
AMERITAS INVESTMENT COMPANY, LLC
February 4, 1997 - December 3, 2001
MML INVESTORS SERVICES, LLC
July 6, 1995 - January 9, 1997
HORNOR, TOWNSEND & KENT, LLC
August 12, 1992 - June 20, 1995
ROBERT W. BAIRD & CO. INCORPORATED
March 6, 1987 - October 4, 1988
ROBERT W. BAIRD & CO. INCORPORATED
February 17, 1987 - July 27, 1995
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
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 8
Date: 11/1/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
AMERITAS INVESTMENT COMPANY, LLC
CRD#: 14869 / SEC#: 801-undefined, 8-31296
Contact information
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERITAS LIFE INSURANCE CORP. | BENEFICIAL OWNER | |
| BEASLEY, RYAN CHARLES | MEMBER BOARD OF DIRECTORS | 2943009 |
| BERTHOLD, RICHARD AARON | VICE PRESIDENT, OPERATIONS | 4433172 |
| BIEL, ROLLIN LYNN | FINANCIAL AND OPERATIONS PRINCIPAL | 5101711 |
| HALVERSON, KELLY JAY | MEMBER BOARD OF DIRECTORS | 7977580 |
| KINSELLA, MATTHEW JOHN | CHIEF COMPLIANCE OFFICER | 5217108 |
| KORTE, BRENT FRAZIER | MEMBER BOARD OF DIRECTORS | 4808103 |
| ROBSON, JEREMY MICHAEL | PRESIDENT AND MEMBER BOARD OF DIRECTORS | 4147931 |
| SCHUBAUER, TYLER JOSEPH | CORPORATE SECRETARY | 6392775 |
| SHERFFIUS, MARIA ELIZABETH | SECOND VICE PRESIDENT - COMPLIANCE OFFICER | 2726500 |
| WU, MICHELE XIAOMING | MEMBER BOARD OF DIRECTORS | 7863936 |
Disclosures
| Regulatory Event | 21 |
| Arbitration | 2 |
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.
