Michael K. Miller
Professional summary
Michael King Miller, who also goes by Mike Miller, is a registered financial professional currently at CETERA INVESTMENT SERVICES LLC located in Checotah, Oklahoma.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1987. Michael has worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael King Miller's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 21, 2006 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 300 West Gentry, Checotah, OK 74426Office #2: 610 East 8th Street, Okmulgee, OK 74447September 29, 2004 - July 27, 2006
ONEAMERICA SECURITIES, INC.
July 1, 1999 - December 31, 2003
CETERA INVESTMENT SERVICES LLC
August 3, 1998 - July 1, 1999
IFMG SECURITIES, INC.
September 1, 1993 - August 3, 1998
INDEPENDENT FINANCIAL SECURITIES, INC.
June 10, 1993 - September 27, 1993
H & R BLOCK FINANCIAL CORPORATION
October 22, 1991 - August 3, 1992
HORNOR, TOWNSEND & KENT, LLC
September 13, 1989 - September 9, 1991
MARKETING ONE SECURITIES, INC.
August 11, 1989 - November 8, 1989
MML INVESTORS SERVICES, LLC
March 25, 1987 - May 1, 1989
AMI SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/10/2019)
(1/4/2010)
(7/21/2006)
Exams
FINRA
Current Firm
CETERA INVESTMENT SERVICES LLC
CRD#: 15340 / SEC#: 801-45573, 8-31826
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| CASEY, SEAN PATRICK | VICE PRESIDENT | 2156290 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HANAU, JENNIFER LEIGH | VICE PRESIDENT | 2898698 |
| HOLWEGER, KIMBERLEY ANN | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| KIRCHER, NICHOLE MARIE | VICE PRESIDENT | 2876887 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| REINHOLZ, CHRISTOPHER JON | VICE PRESIDENT, DIRECTOR OF TRADING | 1961258 |
| RUMMEL, LEANN RENEE | MANAGER, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 1965155 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WEITHAUS, GWENDOLYN | CHIEF COMPLIANCE OFFICER | 2445442 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 3 |
Red Flags
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