EM
Elizabeth J. Miller
KEY FINANCIAL
West Chester, PA 19380
Some features on this profile are disabled
CRD#: 2399228
EM
Professional summary
Elizabeth Jane Miller, who also goes by Elizabeth Jane Derosa, is a registered financial advisor currently at KEY FINANCIAL, INC. located in West Chester, Pennsylvania and OSAIC WEALTH, INC. located in West Chester, Pennsylvania.
Elizabeth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Elizabeth has worked at 4 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 6, Series 7 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Elizabeth Jane Derosa
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Elizabeth Jane 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®
NoneExperience
Current
April 27, 2022 - Present
KEY FINANCIAL, INC.
Office #1: 1045a Andrew Drive, West Chester, PA 19380RIA
CRD#: 116240
West Chester, PA
Current
July 13, 2017 - Present
OSAIC WEALTH, INC.
Office #1: 1045 Andrew Drive Suite A, West Chester, PA 19380RIA
BD
CRD#: 23131
West Chester, PA
Past
February 17, 2021 - March 12, 2024
OSAIC WEALTH, INC.
RIA
CRD#: 23131
SCOTTSDALE, AZ
Past
March 18, 1998 - December 31, 2001
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
November 16, 1993 - June 13, 1997
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
October 26, 1993 - June 13, 1997
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MILWAUKEE, WI
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".
KF
KEY FINANCIAL, INC.
KEY FINANCIAL, INC.
CRD#: 116240 / SEC#: 801-107742
RIA
Registered Investment Advisory firm - (5/5/2016 Approved)Delaware
Registered Investment Advisory firm - (5/11/2016 Terminated)Florida
Registered Investment Advisory firm - (5/11/2016 Terminated)Maryland
Registered Investment Advisory firm - (7/18/2016 Terminated)Massachusetts
Registered Investment Advisory firm - (5/11/2016 Terminated)North Carolina
Registered Investment Advisory firm - (5/16/2016 Terminated)Pennsylvania
Registered Investment Advisory firm - (5/12/2016 Terminated)South Carolina
Registered Investment Advisory firm - (5/11/2016 Terminated)Texas
Registered Investment Advisory firm - (5/11/2016 Terminated)Virginia
Registered Investment Advisory firm - (5/11/2016 Terminated)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.RR
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
RR
Pennsylvania(2/17/2021)
IAR
Pennsylvania(4/27/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/7/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
RR
Series 8
Date: 11/15/1994
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
Current Firm
KF
KEY FINANCIAL, INC.
KEY FINANCIAL, INC.
CRD#: 116240 / SEC#: 801-107742
RIA
Registered Investment Advisory firm - (5/5/2016 Approved)Delaware
Registered Investment Advisory firm - (5/11/2016 Terminated)Florida
Registered Investment Advisory firm - (5/11/2016 Terminated)Maryland
Registered Investment Advisory firm - (7/18/2016 Terminated)Massachusetts
Registered Investment Advisory firm - (5/11/2016 Terminated)North Carolina
Registered Investment Advisory firm - (5/16/2016 Terminated)Pennsylvania
Registered Investment Advisory firm - (5/12/2016 Terminated)South Carolina
Registered Investment Advisory firm - (5/11/2016 Terminated)Texas
Registered Investment Advisory firm - (5/11/2016 Terminated)Virginia
Registered Investment Advisory firm - (5/11/2016 Terminated)PREMIUM
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Contact information
Main Address
1045a Andrew Drive, West Chester, PA 19380
Mailing Address
Phone number
(610) 429-9050
Established
Firm type
Fiscal year end
# of Employees
35
SEC notice filing (19 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 4,622 |
| AUM (Assets Under Management) | $ 2,457,029,591 |
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.
