KM
Keith E. Miller
VESTECH ASSET MANAGEMENT
Kings Mountain, NC
Some features on this profile are disabled
CRD#: 2081359
KM
Professional summary
Keith Edward Miller is a registered financial advisor currently at VESTECH ASSET MANAGEMENT INC. located in Kings Mountain, North Carolina and VESTECH SECURITIES, INC. located in St. Louis, Missouri.
Keith is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Keith has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 50, 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.
1.) AIM REINVESTMENTS, LLC ; INVESTMENT RELATED; 318 SCOTLAND DRIVE, KINGS MOUNTAIN, NC 28086; A SINGLE MEMBER LLC THAT EXISTS FOR TAX LIABILITY PURPOSES; DIRECT OWNER; START DATE:10/1/2008; 0 HOURS A MONTH AS BUSINESS IS ONLY FOR TAX AND LIABILITY PURPOSES ONLY. 2.)AIM GROUP; INVESTMENT RELATED; 318 SCOTLAND DRIVE, KINGS MOUNTAIN, NC 28086; DBA FOR FINANCIAL REPRESENTATIVE AND ADVISORY BUSINESS; DIRECT OWNER; ; START DATE: 06/03/2009; 160 HOURS A MONTH. 3.) Cost Segregation Services, Inc. ("CSSI"); NON- INVESTMENT RELATED; 318 SCOTLAND DRIVE, KINGS MOUNTAIN, NC 28086; COST SEGREGATION STUDIES, ACCELERATED DEPRECIATION ANALYSIS; REPRESENTATIVE; START DATE:08//2022; 10 HOURS A MONTH DURING TRADING HOURS Name of the other business: Vestech Securities, Inc. Investment-related: yes Address of the other business: Nature of the other business: 318 SCOTLAND DRIVE, KINGS MOUNTAIN, NC 28086 Position; title, or relationship with the other business: Financial Representative Start date of your relationship: 09/2017 Approximate number of hours/month you devote to the other business: 160 Number of hours you devote to the other business during securities trading hours: 160 Briefly describe your duties relating to the other business: Financial Representative Name of the other business: King Mountain Housing Authority ("KMHA") Investment-related: No Address of the other business: 201 McGill Court, Kings Mountain, NC, 28086 Nature of the other business: KMHA owns and operates 249 affordable housing apartments and is regulated by HUD, US Housing and Urban Development. Position; title, or relationship with the other business: Board Member Start date of your relationship: 01/2024 Approximate end date: 08/10/2025 Approximate number of hours/month you devote to the other business: 5 Number of hours you devote to the other business during securities trading hours: 0 Briefly describe your duties relating to the other business: Serve as a member of the governing board. Name of the other business: Cleveland County Board of Equalization & Review Investment-related: No Address of the other business: 311 E Marion Street, Shelby, NC, 28150 Nature of the other business: Appeals board that hears appeals to tax assessments. Position; title, or relationship with the other business: Board Member Start date of your relationship: 04/15/2025 with hearings set to begin on 05/05/2025 Approximate end date: 05/30/2025 Approximate number of hours/month you devote to the other business: 15 Number of hours you devote to the other business during securities trading hours: 15 Briefly describe your duties relating to the other business: Attend meetings, preside at hearings, vote on findings. Name of the other business: Kings Mountain Redevelopment Commission Investment-related: No Address of the other business: 201 McGill Court, Kings Mountain, NC, 28086 Nature of the other business: The housing authority board will be replaced by the Kings Mountain Redevelopment Commission that will oversee the Housing Authority operations. Position; title, or relationship with the other business: Board Member, Vice Chairman Start date of your relationship: 09/04/2024 Approximate number of hours/month you devote to the other business: 2 Number of hours you devote to the other business during securities trading hours: 0 Briefly describe your duties relating to the other business: Part of the board that will oversee the Housing Authority operations
CRS (Client Relationship Summary) - RIA
Click below to view Keith Edward 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®
NoneExperience
Current
October 3, 2017 - Present
VESTECH ASSET MANAGEMENT INC.
RIA
CRD#: 285685
Kings Mountain, NC
Current
September 13, 2017 - Present
VESTECH SECURITIES, INC.
Office #1: 11477 Olde Cabin Rd. Suite 310, St. Louis, MO 63141BD
CRD#: 41409
St. Louis, MO
Past
July 2, 2012 - May 22, 2017
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
KINGS MOUNTAIN, NC
Past
August 8, 2007 - July 2, 2012
FIRST ALLIED SECURITIES, INC.
RIA
CRD#: 32444
KINGS MOUNTAIN, NC
Past
August 1, 2007 - May 22, 2017
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
KINGS MOUNTAIN, NC
Past
September 6, 2005 - October 13, 2005
STERNE, AGEE & LEACH, INC.
BD
CRD#: 791
BIRMINGHAM, AL
Past
August 8, 2005 - July 31, 2007
STONEX SECURITIES INC.
BD
CRD#: 18456
KINGS MOUNTAIN, NC
Past
March 16, 2005 - August 1, 2007
INTL ADVISORY CONSULTANTS INC.
RIA
CRD#: 130888
BIRMINGHAM, AL
Past
November 5, 2004 - August 8, 2005
STERNE, AGEE & LEACH, INC.
RIA
CRD#: 791
CHARLOTTE, NC
Past
October 25, 2004 - August 8, 2005
STERNE, AGEE & LEACH, INC.
BD
CRD#: 791
BIRMINGHAM, AL
Past
October 22, 2001 - October 27, 2004
RYAN BECK & CO.
BD
CRD#: 3248
FLORHAM PARK, NJ
Past
February 9, 2001 - October 24, 2001
JOSEPHTHAL & CO., INC.
BD
CRD#: 3227
NEW YORK, NY
Past
July 22, 1998 - February 16, 2001
MARION BASS SECURITIES CORPORATION
BD
CRD#: 7961
CHARLOTTE, NC
Past
May 7, 1996 - July 17, 1998
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
NEWARK, DE
Past
September 20, 1990 - May 20, 1996
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
September 20, 1990 - May 20, 1996
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
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.RR
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
RR
Alabama(10/31/2017)
RR
Arkansas(10/4/2024)
RR
California(9/13/2017)
RR
Colorado(1/4/2023)
RR
Florida(2/2/2018)
RR
Kansas(1/4/2023)
RR
Minnesota(11/13/2017)
RR
Missouri(12/20/2022)
IAR
Missouri(5/5/2025)
RR
North Carolina(9/22/2017)
IAR
North Carolina(10/3/2017)
RR
Pennsylvania(9/15/2017)
RR
South Carolina(11/30/2021)
RR
Virginia(12/1/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
VA
VESTECH ASSET MANAGEMENT INC.
MAENDEL WEALTH | VESTECH ASSET MANAGEMENT INC. | ROYAL CROWN WEALTH MANAGEMENT | MEYER FINANCIAL GROUP
CRD#: 285685 / SEC#:
Connecticut
Registered Investment Advisory firm - (8/8/2017 Approved)Illinois
Registered Investment Advisory firm - (6/18/2020 Approved)Kansas
Registered Investment Advisory firm - (6/9/2017 Approved)Michigan
Registered Investment Advisory firm - (12/2/2016 Approved)Missouri
Registered Investment Advisory firm - (6/8/2017 Approved)North Carolina
Registered Investment Advisory firm - (9/21/2017 Approved)Pennsylvania
Registered Investment Advisory firm - (9/21/2018 Approved)Texas
Registered Investment Advisory firm - (12/3/2018 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
11477 Olde Cabin Road Suite 310, Saint Louis, MO 63141
Mailing Address
Phone number
(314) 828-2111
Established
Firm type
Fiscal year end
# of Employees
14
Regulatory assets under management
| Total Number of Accounts | 270 |
| AUM (Assets Under Management) | $ 100,032,281 |
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.
