Joseph P. Miller

MILLER FINANCIAL SERVICES LLC

MARSHALL, MI 49068

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CRD#: 2820751

Professional summary

Joseph Patrick Miller, who also goes by Joe Miller, is a registered financial advisor currently at MILLER FINANCIAL SERVICES LLC located in Marshall, Michigan.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Joseph has worked at 4 firms and has passed the Series 66, Series 63, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joe 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.

INSURANCE LICENSED SIT ON BOARD OF THE HOMER COMMUNITY FOUNDATION SINCE 2006, A NON PROFIT FOUNDATION FOR THE BENEFIT OF THE COMMUNITY OF HOMER, MICHIGAN. MY ROLE IS TRUSTEE AND I AM NOT COMPENSATED FOR THIS POSITION. I DEVOTE 2-4 HOURS PER MONTH TO THIS POSITION.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Patrick Miller's CRS (Customer Relationship Summary).

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®

None

Experience

Current

July 9, 2010 - Present

MILLER FINANCIAL SERVICES LLC

Office #1: 1001 W Michigan Ave, Marshall, MI 49068

RIA

CRD#: 143788

MARSHALL, MI

Past

May 31, 2007 - January 3, 2011

TRIAD ADVISORS LLC

CRD#: 25803

MARSHALL, MI

Past

May 21, 1999 - June 28, 2007

QUESTAR CAPITAL CORPORATION

CRD#: 43100

MARSHALL, MI

Past

November 6, 1996 - May 21, 1999

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

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".

MILLER FINANCIAL SERVICES LLC

CRD#: 143788 / SEC#: 801-110021

RIA

Registered Investment Advisory firm - (3/7/2017 Approved)

Michigan

Registered Investment Advisory firm - (4/3/2017 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).

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.

Highlighted states indicate IAR registrations

IAR

Michigan
(7/9/2010)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/10/2010

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/7/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/23/1996

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/5/1996

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/12/2001

General Securities Principal Examination

Current Firm

MILLER FINANCIAL SERVICES LLC

CRD#: 143788 / SEC#: 801-110021

RIA

Registered Investment Advisory firm - (3/7/2017 Approved)

Michigan

Registered Investment Advisory firm - (4/3/2017 Terminated)

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Contact information

Main Address

1001 W Michigan Ave, Marshall, MI 49068

Mailing Address

Phone number

(269) 781-5129

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (3/21/2025)

Regulatory assets under management

Total Number of Accounts	1,898
AUM (Assets Under Management)	$ 411,077,007

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

Joseph P. Miller

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Patrick Miller's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRIAD ADVISORS LLC

QUESTAR CAPITAL CORPORATION

NEW ENGLAND SECURITIES

Primary Firm SEC Registration

MILLER FINANCIAL SERVICES LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/10/2010

Series 63

Date: 11/7/1996

Series 7

Date: 12/23/1996

Series 6

Date: 11/5/1996

Series 24

Date: 1/12/2001

Current Firm

MILLER FINANCIAL SERVICES LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MILLER FINANCIAL SERVICES LLC

TRUST BUT VERIFY

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