Kelly 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.
Kelly Lyn Miller, who also goes by Kelly L Miller, Kelly Lyn Morse, was a registered financial professional .
Kelly is a previously registered financial professional and started their career in finance in 1993. Kelly had worked at 10 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 6, 2014 - April 18, 2024
FORESIDE FUND SERVICES, LLC
August 18, 2011 - December 9, 2013
KESTRA INVESTMENT SERVICES, LLC
August 18, 2011 - December 9, 2013
KESTRA INVESTMENT SERVICES, LLC
November 11, 2010 - July 5, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 3, 2010 - July 5, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 15, 2010 - April 23, 2010
BROWN ADVISORY SECURITIES, LLC
January 15, 2010 - April 23, 2010
BROWN ADVISORY SECURITIES, LLC
October 17, 2008 - April 24, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 17, 2008 - April 24, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 18, 2006 - August 10, 2007
BROWN ADVISORY SECURITIES, LLC
August 18, 2006 - August 10, 2007
BROWN ADVISORY SECURITIES, LLC
November 5, 2003 - September 14, 2006
MORGAN STANLEY DW INC.
February 27, 2003 - September 14, 2006
MORGAN STANLEY DW INC.
June 18, 2001 - March 3, 2003
CREDIT SUISSE SECURITIES (USA) LLC
May 19, 2000 - January 17, 2003
PERSHING LLC
September 28, 1999 - May 19, 2000
DB ALEX. BROWN LLC
June 14, 1999 - October 1, 1999
DEUTSCHE BANK SECURITIES INC.
September 1, 1997 - June 14, 1999
DB ALEX. BROWN LLC
June 22, 1993 - September 1, 1997
ALEX. BROWN & SONS INCORPORATED
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
FORESIDE FUND SERVICES, LLC
CRD#: 46106 / SEC#: , 8-51293
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
| STROUT, ALICIA KIMBERLY | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | 6320351 |
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.
