Kristopher W. Miller

T & M FINANCIAL

Topeka, KS 66609

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CRD#: 2868616

Professional summary

Kristopher Wayne Miller, who also goes by Kris Miller, is a registered financial advisor currently at T & M FINANCIAL INC. located in Topeka, Kansas and TANDEM SECURITIES, INC. located in Topeka, Kansas.

Kristopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Kristopher has worked at 4 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 6, Series 14 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kris 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.

PROPERTY RENTAL, NOT INVESTMENT RELATED, 2025 SW TARA AVE, TOPEKA KS,PROPERTY RENTAL 50% OWNER, OVERSEE THE UPKEEP AND MAINTENANCE FOR RENTAL PROPERTY DEVOTE 50 HRS PER YEAR NOT DURING TRADING HRS, STARTED OCTOBER 2000 T&M FINANCIAL, INC.IS INVESTMENT RELATED. LOCATED AT 3706 SW TOPEKA BLVD.STE 400, TOPEKA, KS. FINANCIAL PLANNING, DIRECTOR OF OPERATIONS. START DATE JUNE 1, 1997.HRS/MO DEVOTED IS 120 HRS. HRS/MO DURING TRADING HRS IS 60 HRS. DUTIES ARE RECRUIT, HIRE, TRAIN, SUPERVISE NEW AND CURRENT ASSOC. OF THE FIRM, IN ADDITION TO PERSONAL PRODUCTION IN INVESTMENTS AND TRADITIONAL INS PRODUCTS. TANDEM ADVISORS, INC.IS INVESTMENT RELATED. LOCATED AT 3706 SW TOPEKA BLVD.TOPEKA, KS.RIA. PRESIDENT/OWNER. 10/23/07. HRS/MO DEVOTED 60.DURING TRADING HRS 40 NE KS CHAPTER OF FINANCIAL SERVICE PROFESSIONALS.NOT INVESTMENT RELATED.NEWTOWN SQUARE, PA.EDUCATION.PRESIDENT.JULY 08.2 HRS.RECRUIT, INCREASE MMBERSHIP, SCHED MTNGS INDEPENDENT INSURANCE AGENT MUL

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kristopher 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®

None

Experience

Current

May 23, 2018 - Present

T & M FINANCIAL INC.

Office #1: 3706 Sw Topeka Blvd. Suite 400, Topeka, KS 66609

RIA

CRD#: 291786

Topeka, KS

Current

October 25, 2006 - Present

TANDEM SECURITIES, INC.

Office #1: 3706 Sw Topeka Blvd. Suite 420, Topeka, KS 66609Office #2: 3706 Sw Topeka Boulevard Suite 420, Topeka, KS 66609Office #3: 2601 Nw Expressway Suite 510w, Oklahoma City, OK 73112

CRD#: 140546

Topeka, KS

Past

May 16, 2008 - November 30, 2016

T & M FINANCIAL INC.

RIA

CRD#: 144295

TOPEKA, KS

Past

March 14, 2005 - October 30, 2006

WOODBURY FINANCIAL SERVICES, INC.

RIA

CRD#: 421

TOPEKA, KS

Past

May 5, 1997 - October 30, 2006

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

TOPEKA, KS

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

California
(2/9/2021)

Colorado
(5/10/2021)

Connecticut
(8/11/2021)

Georgia
(11/1/2016)

Illinois
(1/19/2023)

Iowa
(9/24/2014)

Kansas
(12/11/2006)

IAR

Kansas
(5/23/2018)

Missouri
(12/4/2024)

Nebraska
(3/18/2025)

North Carolina
(10/1/2015)

Ohio
(10/21/2021)

South Dakota
(3/11/2025)

Texas
(6/12/2020)

Washington
(12/2/2013)

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

Series 63

Date: 3/25/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/12/2005

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/2/1997

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 24

Date: 2/15/2006

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

T & M FINANCIAL INC.

CRD#: 291786 / SEC#:

Colorado

Registered Investment Advisory firm - (9/9/2021 Revoked)

Kansas

Registered Investment Advisory firm - (5/10/2018 Approved)

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Contact information

Main Address

3706 Sw Topeka Blvd. Suite 400, Topeka, KS 66609

Mailing Address

Phone number

(785) 266-8333

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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

Kristopher W. Miller

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

TANDEM SECURITIES, INC.

T & M FINANCIAL INC.

WOODBURY FINANCIAL SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/25/1997

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 10/12/2005

Series 6

Date: 5/2/1997

Series 14

Date: 1/2/2023

Series 24

Date: 2/15/2006

FINRA

Current Firm

T & M FINANCIAL INC.

Contact information

Documents

Red Flags

Company Information

T & M FINANCIAL INC.

TRUST BUT VERIFY

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