Brett Sylvain Miller
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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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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Years of Experience
36 years in the financial services industry
Current & Past Employments
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Current Firm
BIRCHBROOK | DEIGHAN WEALTH ADVISORS | DEIGHAN ASSOCIATES INC
Contact Information
Main Address
82 Columbia St, Bangor, ME 04401Phone Number
(207) 990-1117# of Employees
7SEC notice filing (5 States and Territories)
Registered to provide investment advisory services in 5 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
863AUM (Assets Under Management)
$296,464,387Accountant 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 |
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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.
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WARREN FINANCIAL, LLC
Primary Firm SEC Registration
BIRCHBROOK | DEIGHAN WEALTH ADVISORS | DEIGHAN ASSOCIATES INC
State Registrations and Notice Filings
(7/20/2023)
(1/3/2023)
(2/9/2023)
(1/9/2023)
(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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Mar 1990About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Brett Sylvain Miller's CRS (Customer Relationship Summary).
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