Andrew S. 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.
Andrew Scott Miller was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1992. Andrew had worked at 11 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
December 12, 2016 - July 24, 2018
EAGLE STRATEGIES LLC
November 11, 2016 - July 24, 2018
NYLIFE SECURITIES LLC
November 4, 2013 - August 10, 2016
MML INVESTORS SERVICES, LLC
October 21, 2013 - August 10, 2016
MML INVESTORS SERVICES, LLC
July 25, 2012 - October 8, 2013
VOYA FINANCIAL ADVISORS, INC.
June 7, 2012 - October 8, 2013
VOYA FINANCIAL ADVISORS, INC.
May 4, 2009 - June 11, 2012
TRIAD ADVISORS LLC
May 4, 2009 - June 11, 2012
TRIAD ADVISORS LLC
October 24, 2006 - May 5, 2009
UBS FINANCIAL SERVICES INC.
July 11, 2005 - May 5, 2009
UBS FINANCIAL SERVICES INC.
February 1, 2001 - July 27, 2005
LEHMAN BROTHERS INC.
November 3, 1999 - January 26, 2001
FIDELITY DISTRIBUTORS COMPANY LLC
June 5, 1998 - October 15, 1999
MUTUAL SERVICE CORPORATION
June 28, 1995 - July 19, 1996
MML INVESTORS SERVICES, LLC
August 24, 1994 - February 14, 1995
CITIGROUP GLOBAL MARKETS INC.
October 5, 1992 - September 9, 1994
PRUDENTIAL EQUITY GROUP, LLC
Primary Firm SEC Registration
EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
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
EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 111,361 |
| AUM (Assets Under Management) | $ 25,395,380,570 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 04/25/2024 | ||
| 12/20/2023 |
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.
