EM
Ellis Y. Miller
KESTRA ADVISORY SERVICES
Canton, OH 44703
Some features on this profile are disabled
CRD#: 3117992
EM
Professional summary
Ellis Y Miller is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Canton, Ohio and KESTRA INVESTMENT SERVICES, LLC located in Canton, Ohio.
Ellis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Ellis has worked at 5 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
Name: Kestra Advisory Services, LLC Investment Related: Yes Address: 5707 Southwest Parkway, Building 2, Suite 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Investment Advisor Representative Start Date: 7/25/2019 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 61% - 70% (85 - 98 hours) Duties: Selling advice to clients Name: Pleasant Wealth Management LTD DBA Pleasant Wealth LLC Investment Related: Yes Address: 720 McKinley Ave NW Canton OH 44703 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Owner Start Date: 7/25/2019 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 71% - 80% (99 - 112 hours) Duties: Senior financial advisor Name: Magnus Holdings LLLC Investment Related: No Address: 4094 South Kansas Rd. Apple Creek OH 44606 Nature of Business: Real Estate Position, Title or Relationship: Owner, Sole member Start Date: 7/1/2016 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Collecting Rent Name: Business underwriters associates Investment Related: Yes Address: 3600 Embassy Pkwy Akron OH 44333 Nature of Business: Insurance Position, Title or Relationship: Insurance Agent Start Date: 1/1/2012 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Provide insurance quotes, help clients select insurance, assist with application Name: Ash Brokerage Investment Related: Yes Address: 39555 Orchard Hill Place #515 Novi MI 48375 Nature of Business: Insurance Position, Title or Relationship: Agent Start Date: 1/1/2020 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Prepare quotes, select policies, and assist clients in applying
CRS (Client Relationship Summary) - RIA
Click below to view Ellis Y 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
July 25, 2019 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 400 18th Street Nw, Canton, OH 44703RIA
CRD#: 283330
Canton, OH
Current
July 25, 2019 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 720 Mckinley Avenue Nw, Canton, OH 44703Office #2: 4581 Township Rd 634, Millersburg, OH 44654BD
CRD#: 42046
Canton, OH
Past
April 24, 2007 - July 29, 2019
HUMMEL WEALTH MANAGEMENT, LLC
RIA
CRD#: 143523
BERLIN, OH
Past
November 5, 2001 - June 27, 2022
ON INVESTMENT MANAGEMENT CO
RIA
CRD#: 105662
BERLIN, OH
Past
September 23, 1998 - July 25, 2019
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
BERLIN, OH
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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)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
Florida(7/25/2019)
RR
Illinois(11/25/2019)
RR
Iowa(7/25/2019)
RR
Ohio(7/25/2019)
IAR
Ohio(7/25/2019)
RR
Virginia(8/1/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
