Marilyn Miles
Professional summary
Marilyn Miles, who also goes by Marilyn Jo Miles, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in St Paul, Minnesota and CETERA WEALTH SERVICES, LLC located in El Segundo, California.
Marilyn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Marilyn has worked at 5 firms and has passed the Series 66, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Marilyn Miles's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 10, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 400 Robert St N Ste 800, St Paul, MN 55101August 10, 2023 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245January 16, 2024 - Present
CETERA ADVISORS LLC
Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245January 16, 2014 - November 8, 2021
CRI SECURITIES, LLC
January 16, 2014 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
September 6, 2000 - November 8, 2021
CRI SECURITIES, LLC
July 26, 1999 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/10/2023)
(8/10/2023)
Exams
Series 52TO
Date: 1/16/2024
Municipal Securities Representative ExaminationFINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644St Paul, MN 55101TRUST BUT VERIFY
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