Scott T. 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.
Scott Thomas Miller was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1993. Scott had worked at 10 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 14, 2013 - December 1, 2017
HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS
November 8, 2013 - July 12, 2017
LPL FINANCIAL LLC
November 23, 2009 - November 14, 2013
HOUSEHOLDER GROUP FINANCIAL ADVISORS, LLC
August 17, 2009 - November 8, 2013
SECURITIES SERVICE NETWORK, LLC
October 31, 2005 - August 18, 2009
OSAIC SERVICES, INC.
October 12, 2004 - November 18, 2009
HOUSEHOLDER GROUP, ESTATE & RETIREMENT SPECIALISTS
August 20, 2004 - October 31, 2005
SUNAMERICA SECURITIES, INC.
July 1, 2003 - August 19, 2004
CUNA BROKERAGE SERVICES, INC.
May 29, 2003 - August 19, 2004
CUNA BROKERAGE SERVICES, INC.
March 22, 1993 - June 19, 2000
IDS LIFE INSURANCE COMPANY
March 22, 1993 - June 19, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS
CRD#: 169045 / SEC#: 801-78565
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
HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS
CRD#: 169045 / SEC#: 801-78565
Contact information
SEC notice filing (38 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,804 |
| AUM (Assets Under Management) | $ 277,447,180 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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