HM
Harlan V. Miller
REGENCY FINANCIAL
DAYTON, OH 45459
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CRD#: 334847
HM
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
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.
1. INDEPENDENT INSURANCE AGENT, DISABILITY, FIXED ANNUITIES, LIFE/ACCIDENT/HEALTH, LONG-TERM CARE FROM BUSINESS ADDRESS FOR 6HRS/WKDY SINCE 8/1972. 2. IAR FOR REGENCY FINANCIAL, LLC AT BUSINESS ADDRESS FOR 0 HRS/WK SINCE 10/2004. 3. NAME OF OTHER BUSINESS: DBA HARLAN MILLER & ASSOCIATES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: INSURANCE START DATE: 08/1972 POSITION/TITLE/RELATIONSHIP: AGENT APX NUMBER OF HOURS PER WEEK: 6 APX NUMBER OF HOURS DURING TRADING HOURS: 6 BRIEF 4. HVMA, LLC, NOT INVESTMENT RELATED, 259 REGENCY RIDGE DR, DAYTON, OH 45459, REAL ESTATE, STARTED 8/2015, MANAGING MEMBER , APX 15 MINUTES PER WEEK, NONE DURING TRADING HOURS, OFFICE CONDOMINIUM OWNERSHIP. 5. NAME OF OTHER BUSINESS: FAR HILLS CONDOMINIUM ASSOCIATION INC; INVESTMENT RELATED: NO; ADDRESS: 259 REGENCY RIDGE DRIVE, DAYTON, OH 45459; NATURE OF BUSINESS: CONDO ASSOCIATION; START DATE: 01/2017; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: VOTE ON POLICIES AND DECISIONS RELATED TO CONDO ASSOCIATION; 6. NAME OF OTHER BUSINESS: TAWASI; INVESTMENT RELATED: NO; ADDRESS: DAYTON, OH; NATURE OF BUSINESS: LUNCH CLUB; START DATE: 01/2021; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: VARIES; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: ATTEND MEETINGS, MAKES POLICY ON MEMBERSHIP AND LOCATION; 7. NAME OF OTHER BUSINESS: LIFE SETTLEMENT BUSINESS; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: LIFE SETTLEMENT; START DATE: 11/2021; APX NUMBER OF HOURS PER WEEK: VARIES; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE SETTLEMENTS THROUGH WELCOME FUNDS, INC.;
CRS (Client Relationship Summary) - RIA
Click below to view Harlan Vincent 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®
Experience
Current
October 30, 2003 - Present
REGENCY FINANCIAL, LLC
Office #1: 259 Regency Ridge Drive, Dayton, OH 45459RIA
CRD#: 128008
DAYTON, OH
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 2689 Commons Blvd Ste 30, Dayton, OH 45431RIA
CRD#: 105644
DAYTON, OH
Current
September 3, 2013 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 259 Regency Ridge Dr, Dayton, OH 45459BD
CRD#: 13572
Dayton, OH
Past
September 3, 2013 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
March 24, 2006 - September 3, 2013
WALNUT STREET SECURITIES, INC.
RIA
CRD#: 15840
DAYTON, OH
Past
December 7, 1999 - November 2, 2006
WALNUT STREET ADVISERS INC
RIA
CRD#: 109903
DAYTON, OH
Past
November 17, 1995 - September 3, 2013
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
DAYTON, OH
Past
November 19, 1989 - October 27, 1995
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
October 10, 1985 - January 10, 1992
CARILLON INVESTMENTS, INC.
BD
CRD#: 14646
CINCINNATI, OH
Past
May 24, 1983 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
Past
August 1, 1973 - June 2, 1983
ONEAMERICA SECURITIES, INC.
BD
CRD#: 4173
Past
August 1, 1973 - November 24, 1995
AMERICAN UNITED LIFE INSURANCE COMPANY
BD
CRD#: 1075
INDIANAPOLIS, IN
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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
Alabama(9/3/2013)
RR
Arizona(2/12/2024)
RR
California(9/3/2013)
RR
Florida(9/3/2013)
RR
Georgia(9/3/2013)
RR
Illinois(9/3/2013)
RR
Indiana(9/3/2013)
RR
Kentucky(6/3/2024)
RR
Michigan(3/10/2015)
RR
Missouri(1/2/2015)
RR
New York(4/20/2022)
RR
North Carolina(2/11/2025)
IAR
Ohio(10/30/2003)
RR
Ohio(9/3/2013)
RR
South Carolina(9/3/2013)
RR
Texas(7/6/2017)
IAR
Texas(6/29/2023)
RR
Virginia(9/3/2013)
RR
Washington(3/21/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 7/24/1973
Registered Representative ExaminationPrincipal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
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
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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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