Harlan V. Miller
Professional summary
Harlan Vincent Miller, CFP® is a registered financial advisor currently at REGENCY FINANCIAL, LLC located in Dayton, Ohio and CETERA INVESTMENT ADVISERS LLC located in Dayton, Ohio.
Harlan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1973. Harlan has worked at 10 firms and has passed the Series 63, Series 7TO, SIE, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Harlan Vincent Miller's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 30, 2003 - Present
REGENCY FINANCIAL, LLC
Office #1: 259 Regency Ridge Drive, Dayton, OH 45459June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 2689 Commons Blvd Ste 30, Dayton, OH 45431September 3, 2013 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 259 Regency Ridge Dr, Dayton, OH 45459September 3, 2013 - June 29, 2023
CETERA WEALTH SERVICES, LLC
March 24, 2006 - September 3, 2013
WALNUT STREET SECURITIES, INC.
December 7, 1999 - November 2, 2006
WALNUT STREET ADVISERS INC
November 17, 1995 - September 3, 2013
WALNUT STREET SECURITIES, INC.
November 19, 1989 - October 27, 1995
OSAIC WEALTH, INC.
October 10, 1985 - January 10, 1992
CARILLON INVESTMENTS, INC.
May 24, 1983 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
August 1, 1973 - June 2, 1983
ONEAMERICA SECURITIES, INC.
August 1, 1973 - November 24, 1995
AMERICAN UNITED LIFE INSURANCE COMPANY
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
(9/3/2013)
(9/3/2013)
(9/3/2013)
(9/3/2013)
(9/3/2013)
(9/3/2013)
(6/3/2024)
(3/10/2015)
(1/2/2015)
(4/20/2022)
(2/11/2025)
(10/30/2003)
(9/3/2013)
(9/3/2013)
(7/6/2017)
(6/29/2023)
(9/3/2013)
(3/21/2022)
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 7/24/1973
Registered 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 |
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Dayton, OH 45459TRUST BUT VERIFY
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