Joseph M. Miller

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CRD#: 2144879

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.

Joseph Michael Miller, CFP®, CPWA®, who also goes by Joe Miller, was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 1991. Joseph had worked at 11 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Joe Miller

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) Name: CFP Board of Standards. Non-investment related. Address: 1425 K Street NW #800, Washington, DC 20005. Nature of business: CFP Certification. Position: Member of Commission on Sanctions and Fitness. Start Date: 02/01/2021. Number of hours per month devoted to other business: 4; during securities trading hours 3. Duties: Volunteer to review and recommend changes to CFP Board's Sanction Guidelines and Fitness Standards. Meet monthly virtually or in-person in Washington, D.C. | (2) Name: CFP Board of Standards. Non-investment related. Address: 1425 K Street NW #800, Washington, DC 20005. Nature of business: CFP certification. Position: Member of the Business Model Council. Start Date: 10/17/2023. Number of hours per month devoted to other business: 4; during securities trading hours 3. Duties: Volunteer to advise on the effect CFP Board's standards have on different business models of firms that employ CFP� professionals. Consists of heads of financial planning from major firms to discuss, network, and learn from peers. Meet quarterly virtually or in-person in Washington, D.C. | (3) Name: MissionSquare Retirement (MSQ). Investment related. Nature of Business: MissionSquare is a Delaware non-profit corporation established in 1972 to assist state and local governments and their agencies and instrumentalities ("plan sponsors") in the establishment and maintenance of deferred compensation and qualified retirement plans for their public sector employees. Address: 777 N. Capitol Street, NE, Washington, DC 20002. Position: MVP, Retail Retirement. Start Date: 10/25/2021. Hours per month devoted to other business 160 (~8hr/day); during securities trading hours (9:30 am-4:00 pm EST): 8.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

CPWA^®

Certified Private Wealth Advisor

Start date: 2008-08-15

Expire date: 2023-07-31

Experience

Past

November 1, 2021 - September 29, 2025

MISSIONSQUARE RETIREMENT

RIA

CRD#: 108783

Bradenton, FL

Past

October 26, 2021 - September 29, 2025

MISSIONSQUARE INVESTMENT SERVICES

CRD#: 23189

WASHINGTON, DC

Past

March 4, 2019 - February 18, 2020

BB&T SECURITIES, LLC

RIA

CRD#: 142785

RICHMOND, VA

Past

March 4, 2019 - February 18, 2020

BB&T SECURITIES, LLC

CRD#: 142785

RICHMOND, VA

Past

February 16, 2018 - December 19, 2018

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

SAINT PAUL, MN

Past

January 6, 2012 - November 23, 2012

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

PHILADELPHIA, PA

Past

September 28, 2011 - January 6, 2012

WORLD GROUP SECURITIES, INC.

CRD#: 114473

DULUTH, GA

Past

June 3, 2002 - September 15, 2009

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

NEW YORK, NY

Past

May 27, 1999 - September 15, 2009

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

August 5, 1997 - February 22, 1999

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, NY

Past

October 6, 1994 - February 5, 1998

ASSET ALLOCATION SECURITIES CORP.

CRD#: 25287

TARRYTOWN, NY

Past

June 3, 1991 - April 20, 1993

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

June 3, 1991 - April 20, 1993

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

MISSIONSQUARE RETIREMENT

CRD#: 108783 / SEC#: 801-18273

RIA

Registered Investment Advisory firm - (1/19/1983 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 7/5/2018

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 8/12/1997

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/29/1991

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/5/1997

General Securities Principal Examination

Current Firm

MISSIONSQUARE RETIREMENT

CRD#: 108783 / SEC#: 801-18273

RIA

Registered Investment Advisory firm - (1/19/1983 Approved)

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Contact information

Main Address

777 North Capitol Street Ne, Suite 600, Washington, DC 20002-4240

Mailing Address

Phone number

(202) 962-4600

Established

Firm type

Fiscal year end

# of Employees

599

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GUIDED PATHWAYS ADVISORY SERVICES (10/30/2025)

INSURANCE CONTRACT SEPARATE ACCOUNT ADVISORY SERVICES (3/31/2025)

INSTITUTIONAL ASSET ALLOCATION ADVISORY SERVICES (3/31/2025)

Regulatory assets under management

Total Number of Accounts	58,580
AUM (Assets Under Management)	$ 5,959,398,729

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/28/2025	Cover Page	Report
01/27/2025	Cover Page	Report
10/27/2023	Cover Page	Report
01/27/2023	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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Joseph M. Miller

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MISSIONSQUARE INVESTMENT SERVICES

BB&T SECURITIES, LLC

BB&T SECURITIES, LLC

U.S. BANCORP INVESTMENTS, INC.

TRANSAMERICA FINANCIAL ADVISORS, LLC

WORLD GROUP SECURITIES, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

CITICORP INVESTMENT SERVICES

ASSET ALLOCATION SECURITIES CORP.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

MISSIONSQUARE RETIREMENT

State Registrations and Notice Filings

Exams

Series 63

Date: 7/5/2018

Series 65

Date: 8/12/1997

SIE

Date: 10/1/2018

Series 7

Date: 5/29/1991

Series 24

Date: 9/5/1997

Current Firm

MISSIONSQUARE RETIREMENT

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

MISSIONSQUARE RETIREMENT

TRUST BUT VERIFY

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