Lee L. Miles

LEE MILES LLC

OGDEN, UT 84401

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CRD#: 2027335

Professional summary

Lee Lindsay Miles, CFP® is a registered financial advisor currently at LEE MILES LLC located in Ogden, Utah.

Lee is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. Lee has worked at 7 firms and has passed the Series 66, Series 65, Series 63, Series 7, Series 6 and Series 24 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.

LEE MILES, LLC (PREVIOUSLY NAMED RETIREMENT SERVICES, LLC): SALE OF FIXED LIFE INSURANCE AND ANNUITIES THROUGH MIDLAND NATIONAL LIFE AND OCCASIONAL OTHER COMPANIES. PRACTICE MANAGEMENT,INC: A C-CORPORATION THAT I'M PRESIDENT OF TO PROVIDE MANAGEMENT SERVICES FOR LEE MILES LLC. IT EMPLOYS NO STAFF, PAYS PAYROLL. LEE MILES LLC PAYS PRACTICE MANAGEMENT INC FOR VARIOUS ADMINISTRATIVE SERVICES IT PERFORMS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lee Lindsay Miles'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

Start date: 1992

Experience

Current

June 20, 2014 - Present

LEE MILES LLC

Office #1: 3084 S 1900 W Suite A2, Ogden, UT 84401

RIA

CRD#: 170776

OGDEN, UT

Past

February 9, 2002 - October 7, 2013

PARKLAND SECURITIES, LLC

CRD#: 115368

OGDEN, UT

Past

February 8, 2002 - October 7, 2013

SPC

RIA

CRD#: 110692

OGDEN, UT

Past

February 23, 1998 - February 9, 2002

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

September 16, 1997 - February 27, 1998

INVESTORS CAPITAL CORP.

CRD#: 30613

LYNNFIELD, MA

Past

June 1, 1996 - September 16, 1997

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

January 3, 1992 - June 1, 1996

NORTH AMERICAN MANAGEMENT, INC.

CRD#: 624

SIOUX FALLS, SD

Past

April 25, 1990 - February 11, 1992

USLIFE EQUITY SALES CORP.

CRD#: 7962

NEW YORK, NY

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

Utah
(6/20/2014)

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

IAR

Series 66

Date: 9/19/2000

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 3/16/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/29/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/9/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/23/1990

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/19/1998

General Securities Principal Examination

Current Firm

LEE MILES LLC

CRD#: 170776 / SEC#:

Utah

Registered Investment Advisory firm - (6/20/2014 Approved)

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Contact information

Main Address

3084 S 1900 W Suite A2, Ogden, UT 84401

Mailing Address

Phone number

(801) 394-8785

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	98
AUM (Assets Under Management)	$ 14,015,072

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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Advisor Monitoring

Firm Stability Insights

Lee L. Miles

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lee Lindsay Miles's CRS (Customer Relationship Summary).

Certified licenses

Experience

PARKLAND SECURITIES, LLC

SPC

WALNUT STREET SECURITIES, INC.

INVESTORS CAPITAL CORP.

WALNUT STREET SECURITIES, INC.

NORTH AMERICAN MANAGEMENT, INC.

USLIFE EQUITY SALES CORP.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/19/2000

Series 65

Date: 3/16/1992

Series 63

Date: 1/29/1990

Series 7

Date: 11/9/1998

Series 6

Date: 4/23/1990

Series 24

Date: 12/19/1998

Current Firm

LEE MILES LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

LEE MILES LLC

TRUST BUT VERIFY

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