Andrew D. Miller
Professional summary
Andrew Dwayne Miller was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Andrew is a previously registered financial professional and started their career in finance in 1989. Prior to being barred, Andrew had worked at 2 firms, which includes INVESTMENT CENTERS OF AMERICA INC., LPL FINANCIAL LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 9, 1998 - January 31, 2000
INVESTMENT CENTERS OF AMERICA, INC.
April 23, 1997 - March 11, 1998
LPL FINANCIAL LLC
December 19, 1989 - April 30, 1997
INVESTMENT CENTERS OF AMERICA, 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
Exams
Current Firm
INVESTMENT CENTERS OF AMERICA, INC.
CRD#: 16443 / SEC#: 801-56410, 8-33983
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INVEST FINANCIAL CORPORATION | DIRECT OWNER | 12984 |
| COLEMAN, CAREN LESLIE | VP, NPH PRODUCT AND SPONSOR RELATIONS | 4298287 |
| COLLINS, MAURA KATHRYN | SVP/CFO NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT AND CEO OF NPH | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL & SVP REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| KALINOWSKI, DAWN MARIE | SVP/COO | 2770565 |
| KOMOSZEWSKI, JAMES ANTHONY | PRESIDENT/CEO/DIRECTOR | 2833256 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP, FINOP & CONTROLLER | 4800775 |
| MCCALLOP, PATRICIA ANN | NPH AND ICA SVP & CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP OPERATIONS | 1955960 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 4 |
| Bond | 3 |
Red Flags
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