Patty A. Miller

ASCENSUS INVESTMENT ADVISORS

Ferndale, WA

Some features on this profile are disabled

CRD#: 1896826

Professional summary

Patty Ann Miller, CFP®, who also goes by Patty Ann Miller, Patty A Miller, Patty Miller, is a registered financial advisor currently at ASCENSUS INVESTMENT ADVISORS, LLC located in Ferndale, Washington and ASCENSUS BROKER DEALER SERVICES, LLC located in Dresher, Pennsylvania.

Patty is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Patty has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Patty Ann Miller | Patty A Miller | Patty 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 advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Patty Ann 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®

CFP^®

Certified Financial Planner

Experience

Current

April 22, 2026 - Present

ASCENSUS INVESTMENT ADVISORS, LLC

RIA

CRD#: 120632

Ferndale, WA

Current

November 16, 2025 - Present

ASCENSUS BROKER DEALER SERVICES, LLC

Office #1: 200 Dryden Road, Dresher, PA 19025

CRD#: 36478

Dresher, PA

Past

May 21, 2025 - October 8, 2025

ASSETMARK, INC.

RIA

CRD#: 109018

Ferndale, WA

Past

May 21, 2025 - October 8, 2025

ASSETMARK BROKERAGE, LLC

CRD#: 169804

CONCORD, CA

Past

October 17, 2023 - December 31, 2024

ONEAMERICA SECURITIES, INC.

RIA

CRD#: 4173

Ferndale, WA

Past

October 17, 2023 - December 31, 2024

ONEAMERICA SECURITIES, INC.

CRD#: 4173

INDIANAPOLIS, IN

Past

October 24, 2003 - September 18, 2023

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Ferndale, WA

Past

March 12, 1998 - September 18, 2023

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Richfield, OH

Past

July 30, 1990 - February 10, 1998

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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".

ASCENSUS INVESTMENT ADVISORS, LLC

ASCENSUS INVESTMENT ADVISORS, LLC | UPROMISE INVESTMENT ADVISORS, LLC

CRD#: 120632 / SEC#: 801-61492

RIA

Registered Investment Advisory firm - (9/27/2002 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.

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

IAR

Massachusetts
(4/22/2026)

Washington
(11/16/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/16/2026

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/25/1990

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: 7/25/1990

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 8/31/2001

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 7/11/2001

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

Current Firm

ASCENSUS INVESTMENT ADVISORS, LLC

ASCENSUS INVESTMENT ADVISORS, LLC | UPROMISE INVESTMENT ADVISORS, LLC

CRD#: 120632 / SEC#: 801-61492

RIA

Registered Investment Advisory firm - (9/27/2002 Approved)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

95 Wells Avenue Suite 160, Newton, MA 02459

Mailing Address

Phone number

(617) 454-6400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2 (1/29/2026)

Regulatory assets under management

Total Number of Accounts	10
AUM (Assets Under Management)	$ 12,973,029,698

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/21/2026	Cover Page	Report
07/29/2024	Cover Page	Report
01/30/2024	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

Similar Advisors

Guy Peel

OSAIC WEALTH, INC.

IAR

Helena, MT

Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

IAR

Estero, FL

Jeffrey Meotti

MORGAN STANLEY

IAR

MADISON, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Patty A. Miller

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Patty Ann Miller's CRS (Customer Relationship Summary).

Certified licenses

Experience

ASCENSUS INVESTMENT ADVISORS, LLC

ASCENSUS BROKER DEALER SERVICES, LLC

ASSETMARK, INC.

ASSETMARK BROKERAGE, LLC

ONEAMERICA SECURITIES, INC.

ONEAMERICA SECURITIES, INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

ASCENSUS INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/16/2026

Series 63

Date: 8/25/1990

SIE

Date: 10/1/2018

Series 7

Date: 7/25/1990

Series 10

Date: 8/31/2001

Series 9

Date: 7/11/2001

FINRA

Current Firm

ASCENSUS INVESTMENT ADVISORS, LLC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

ASCENSUS INVESTMENT ADVISORS, LLC

TRUST BUT VERIFY

Contact information

Similar Advisors