Jeffrey L. Miller
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jeffrey Lee Miller, who also goes by Jeffrey L Miller, Jeffrey Miller, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1991. Jeffrey had worked at 15 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 29, 2014 - October 8, 2014
AVANTAX INVESTMENT SERVICES, INC.
September 11, 2012 - June 21, 2013
EQUITABLE ADVISORS, LLC
August 30, 2011 - September 5, 2012
MSI FINANCIAL SERVICES, INC.
May 3, 2011 - July 20, 2011
PRINCIPAL SECURITIES, INC.
April 17, 2009 - May 11, 2009
FIRST CLEARING, LLC
October 10, 2007 - April 17, 2009
WELLS FARGO CLEARING SERVICES, LLC
February 9, 2007 - May 22, 2007
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
July 31, 2006 - October 24, 2006
ONEAMERICA SECURITIES, INC.
July 15, 2005 - June 30, 2006
FORESTERS EQUITY SERVICES, INC.
May 30, 2001 - February 11, 2004
WELLS FARGO CLEARING SERVICES, LLC
October 1, 2000 - February 15, 2001
WELLS FARGO CLEARING SERVICES, LLC
January 28, 2000 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
August 6, 1996 - May 19, 1998
FIRST UNION BROKERAGE SERVICES, INC.
August 18, 1995 - May 21, 1996
PINEBRIDGE SECURITIES LLC
September 30, 1993 - March 31, 1995
IFMG SECURITIES, INC.
August 11, 1993 - September 21, 1993
HORNOR, TOWNSEND & KENT, LLC
September 4, 1991 - January 30, 1993
CARILLON INVESTMENTS, INC.
May 13, 1991 - July 23, 1991
MUTUAL OF OMAHA INVESTOR SERVICES, 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
AVANTAX INVESTMENT SERVICES, INC.
CRD#: 13686 / SEC#: , 8-29533
Contact information
FINRA licenses (7 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AVANTAX WEALTH MANAGEMENT, INC. | SOLE SHAREHOLDER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BURKOTT, DANIEL PAUL | CHIEF COMPLIANCE OFFICER | 4710068 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| GOK, LISA ANNE | GENERAL COUNSEL, SECRETARY | 5059738 |
| HOLWEGER, KIMBERLEY | PRINCIPAL OPERATIONS OFFICER | 1572778 |
| MACKAY, TODD CHRISTOPHER | DIRECTOR AND VICE PRESIDENT | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER | 5769181 |
| NEARY, JOSEPH DANIEL | DIRECTOR AND VICE PRESIDENT | 2993505 |
| WATTS, ANDREW DAVID | PRESIDENT | 4780880 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 4 |
| Bond | 1 |
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.
