Douglas W. Miller

CHIEF ADVISORS CORP

Lawrence, KS

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CRD#: 2342067

Professional summary

Douglas Wayne Miller, CFP®, who also goes by Douglas W Miler, Doug W Miller, Douglas Miller, is a registered financial advisor currently at CHIEF ADVISORS CORP located in Lawrence, Kansas and FIRST ASSET FINANCIAL INC. located in Lawrence, Kansas.

Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Douglas has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10, Series 9 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Douglas W Miler | Doug W Miller | Douglas 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.

FIRST ASSET FINANCIAL INC. (FAF) APPROVES THE FOLLOWING OUTSIDE NON-SECURITIES BUSINESS ACTIVITY THAT IS NOT INVESTMENT RELATED: REAL ESTATE/PROPERTY MANAGEMENT LANDLORD RENTAL PROPERTY NON INVESTMENT RELATED, LESS THAN 20 HOURS PER MONTH, NOT DURING BUSINESS HOURS BEGINNING IN 08/2011. THIS BUSINESS (WHICH OFFERS NO SECURITIES), IS NOT CO-OWNED BY, NOR AN AFFILIATE OF FAF. ALL SERVICES AND PRODUCTS THAT ARE OFFERED BY THIS PERSON (OR THEIR DBA) ARE THE SOLE RESPONSIBILITY OF THIS AGENT (OR THEIR DBA) ALONE AND ARE NOT THE RESPONSIBILITY OF FAF. FAF IS NOT LIABLE IN ANY MANNER REGARDING THIS "OUTSIDE BUSINESS ACTIVITY".

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas Wayne Miller's CRS (Customer Relationship Summary).

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

Experience

Current

May 7, 2021 - Present

CHIEF ADVISORS CORP

RIA

CRD#: 125261

Lawrence, KS

Current

May 7, 2021 - Present

FIRST ASSET FINANCIAL INC.

CRD#: 139107

Lawrence, KS

Past

March 3, 2021 - April 15, 2021

UNITED CAPITAL MANAGEMENT OF KANSAS, INC.

RIA

CRD#: 157755

SALINA, KS

Past

August 24, 1998 - November 15, 2019

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Kansas City, MO

Past

June 28, 1995 - November 15, 2019

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Kansas City, MO

Past

May 19, 1993 - June 15, 1995

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

Kansas
(5/7/2021)

Kansas
(5/10/2021)

Missouri
(5/10/2021)

IAR

Missouri
(5/10/2021)

Nebraska
(7/19/2021)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/14/2003

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/21/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/18/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 8

Date: 7/28/1997

General Securities Sales Supervisor Examination (Options Module & General Module)

SRO Registrations

FINRA

Current Firm

CHIEF ADVISORS CORP

CHIEF ADVISORS CORP | CHIEF ADVISORS CORPORATION

CRD#: 125261 / SEC#:

Kansas

Registered Investment Advisory firm - (6/11/2003 Approved)

Michigan

Registered Investment Advisory firm - (3/25/2008 Approved)

Missouri

Registered Investment Advisory firm - (4/22/2013 Approved)

Nebraska

Registered Investment Advisory firm - (12/31/2011 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

110 E. Iron Ave, Suite B, Salina, KS 67401

Mailing Address

P.o. Box 1364, Salina, KS 67402-1364

Phone number

(785) 827-7700

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	344
AUM (Assets Under Management)	$ 92,800,290

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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Firm Stability Insights

Douglas W. Miller

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas Wayne Miller's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST ASSET FINANCIAL INC.

UNITED CAPITAL MANAGEMENT OF KANSAS, INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

EDWARD JONES

State Registrations and Notice Filings

Exams

Series 66

Date: 1/14/2003

Series 63

Date: 5/21/1993

SIE

Date: 10/1/2018

Series 7

Date: 5/18/1993

Series 10

Date: 1/2/2023

Series 9

Date: 1/2/2023

Series 8

Date: 7/28/1997

FINRA

Current Firm

CHIEF ADVISORS CORP

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CHIEF ADVISORS CORP

TRUST BUT VERIFY

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