Nicholas G. 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.
Nicholas Glen Miller, who also goes by Nicholas G Miller, Nick Miller, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 1994. Nicholas had worked at 8 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
May 26, 2015 - December 31, 2015
ALLSTATE FINANCIAL ADVISORS, LLC
May 21, 2015 - December 31, 2015
ALLSTATE FINANCIAL SERVICES, LLC
June 20, 2013 - May 21, 2015
VALIC FINANCIAL ADVISORS, INC.
June 19, 2013 - May 21, 2015
VALIC FINANCIAL ADVISORS, INC.
August 27, 2012 - June 20, 2013
MSI FINANCIAL SERVICES, INC.
August 21, 2012 - June 20, 2013
MSI FINANCIAL SERVICES, INC.
April 8, 2008 - August 22, 2012
VALIC FINANCIAL ADVISORS, INC.
April 8, 2008 - August 22, 2012
VALIC FINANCIAL ADVISORS, INC.
November 24, 2006 - February 19, 2008
DEWAAY CAPITAL MANAGEMENT
September 11, 2006 - February 19, 2008
DEWAAY FINANCIAL NETWORK, LLC
September 7, 2006 - September 11, 2006
VSR FINANCIAL SERVICES, INC.
February 15, 1994 - February 6, 1995
EDWARD JONES
Primary Firm SEC Registration
ALLSTATE FINANCIAL ADVISORS, LLC
CRD#: 109524 / SEC#: 801-68510
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
ALLSTATE FINANCIAL ADVISORS, LLC
CRD#: 109524 / SEC#: 801-68510
Contact information
SEC notice filing (49 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 280 |
| AUM (Assets Under Management) | $ 82,015,793 |
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.
