Brett S. Miller

BIRCHBROOK

Bangor, ME 04401

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CRD#: 2025341

Professional summary

Brett Sylvain Miller is a registered financial advisor currently at BIRCHBROOK located in Bangor, Maine.

Brett is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. Brett has worked at 7 firms and has passed the Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Brett Sylvain 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

December 6, 2022 - Present

BIRCHBROOK

Office #1: 82 Columbia St, Bangor, ME 04401

RIA

CRD#: 105164

Bangor, ME

Past

June 12, 2003 - September 8, 2004

COLUMBIA MANAGEMENT ADVISORS, INC.

RIA

CRD#: 105842

BANGOR, ME

Past

November 13, 2002 - July 1, 2003

BTI FINANCIAL GROUP

RIA

CRD#: 108839

ELLSWORTH, ME

Past

April 28, 1993 - April 7, 1995

KEY INVESTMENTS INC.

CRD#: 15873

CLEVELAND, OH

Past

October 23, 1992 - April 6, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

October 16, 1991 - October 20, 1992

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

March 12, 1990 - September 25, 1991

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

CRD#: 7325

BOSTON, MA

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".

BIRCHBROOK

BIRCHBROOK | DEIGHAN WEALTH ADVISORS | DEIGHAN ASSOCIATES INC

CRD#: 105164 / SEC#: 801-36582

RIA

Registered Investment Advisory firm - (5/11/1990 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.

Highlighted states indicate IAR registrations

IAR

Florida
(7/20/2023)

IAR

Maine
(1/3/2023)

IAR

Massachusetts
(2/9/2023)

IAR

New York
(1/9/2023)

IAR

Texas
(12/6/2022)

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.

Exams

State Security Law Exam

Series 63

Date: 3/5/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/8/1992

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/9/1990

Investment Company Products/Variable Contracts Representative Examination

Current Firm

BIRCHBROOK

BIRCHBROOK | DEIGHAN WEALTH ADVISORS | DEIGHAN ASSOCIATES INC

CRD#: 105164 / SEC#: 801-36582

RIA

Registered Investment Advisory firm - (5/11/1990 Approved)

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Contact information

Main Address

82 Columbia St, Bangor, ME 04401

Mailing Address

Phone number

(207) 990-1117

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BIRCHBROOK FORM ADV PART 2A BROCHURE (11/17/2025)

Regulatory assets under management

Total Number of Accounts	803
AUM (Assets Under Management)	$ 258,958,621

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/22/2024	Cover Page	Report
02/28/2024	Cover Page	Report
03/29/2023	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.

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Firm Stability Insights

Brett S. Miller

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brett Sylvain Miller's CRS (Customer Relationship Summary).

Certified licenses

Experience

COLUMBIA MANAGEMENT ADVISORS, INC.

BTI FINANCIAL GROUP

KEY INVESTMENTS INC.

LEHMAN BROTHERS INC.

PRUDENTIAL EQUITY GROUP, LLC

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

Primary Firm SEC Registration

BIRCHBROOK

State Registrations and Notice Filings

Exams

Series 63

Date: 3/5/1990

Series 7

Date: 1/8/1992

Series 6

Date: 3/9/1990

Current Firm

BIRCHBROOK

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

BIRCHBROOK

TRUST BUT VERIFY

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