Leonard E. 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.
Leonard Elliot Miller, who also goes by Lenny Elliott Miller, was a registered financial professional .
Leonard is a previously registered financial professional and started their career in finance in 1997. Leonard had worked at 7 firms and has passed the Series 63, Series 7TO, 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
September 14, 2012 - December 3, 2021
AVANTAX ADVISORY SERVICES
August 14, 2012 - December 3, 2021
AVANTAX INVESTMENT SERVICES, INC.
April 29, 2011 - August 16, 2012
INTERNATIONAL ASSETS ADVISORY, LLC
March 3, 2008 - May 20, 2011
ASSET & FINANCIAL PLANNING, LTD
December 19, 2007 - May 20, 2011
PRIME CAPITAL SERVICES, INC.
June 16, 1999 - October 19, 2006
VALMARK ADVISERS, INC.
October 10, 1997 - October 19, 2006
VALMARK SECURITIES, INC.
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
Series 7TO
Date: 9/6/2022
General Securities Representative ExaminationCurrent Firm
AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Contact information
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
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.
