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GM

Gary A. Miller

TANDEM SECURITIES
Topeka, KS 66609
Some features on this profile are disabled
CRD#: 1605513
GM

Professional summary

Gary Allen Miller is a registered financial professional currently at TANDEM SECURITIES, INC. located in Topeka, Kansas.

Gary is registered as a RR (Registered Representative) and started their career in finance in 1987. Gary has worked at 3 firms and has passed the Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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 advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Gary Allen Miller's CRS (Customer Relationship Summary).
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®
None

Experience

Current

November 12, 2008 - Present

TANDEM SECURITIES, INC.

Office #1: 3706 Sw Topeka Blvd. Suite 420, Topeka, KS 66609Office #2: 3706 Sw Topeka Boulevard Suite 420, Topeka, KS 66609
BD
CRD#: 140546
Topeka, KS
Past

December 19, 1990 - November 13, 2008

WOODBURY FINANCIAL SERVICES, INC.

BD
CRD#: 421
TOPEKA, KS
Past

January 7, 1987 - December 31, 1990

THE COLUMBIAN SECURITIES CORPORATION

BD
CRD#: 169

State Registrations and Notice Filings

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

RR
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

RR
Kansas
(11/13/2008)

Exams

State Security Law Exam
RR
Series 63
Date: 12/15/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 12/22/1986
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

TS
TANDEM SECURITIES, INC.
TANDEM SECURITIES | TANDEM SECURITIES, INC. | TANDEM SECURITIES, INC

CRD#: 140546 / SEC#: , 8-67321

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
3706 Sw Topeka Boulevard Suite 420, Topeka, KS 66609
Mailing Address
3706 W Topeka Boulevard Suite 420, Topeka, KS 66609
Phone number
(785) 266-8333
Established
Kansas since 03/15/2006
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (33 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
MILLER, KRISTOPHER WAYNEOWNER, PRESIDENT, PRINCIPAL, CCO2868616
BARR, FARON EUGENEGENERAL SECURITIES PRINCIPAL/AML COMPLIANCE OFFICER4685467
LINDNER, CARL ALBERTCFO AND FINOP6830871
MILLER, RICHARD LEEPRINCIPLE/GENERAL COMPLIANCE1176011

Disclosures

Regulatory Event3

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.

Company Information

TANDEM SECURITIES, INC.

CRD#: 140546Topeka, KS 66609

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