Alvin C. 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.
Alvin Curtis Miller, who also goes by Al C. Miller, was a registered financial professional .
Alvin is a previously registered financial professional and started their career in finance in 2000. Alvin had worked at 5 firms and has passed the Series 63 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
April 23, 2014 - December 15, 2014
VANTAGE POINT WEALTH MANAGEMENT
January 21, 2014 - September 10, 2014
LPL FINANCIAL LLC
November 25, 2008 - September 10, 2014
LPL FINANCIAL LLC
November 6, 2007 - November 26, 2008
MUTUAL SERVICE CORPORATION
February 4, 2000 - July 3, 2006
IDS LIFE INSURANCE COMPANY
February 4, 2000 - October 24, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
VANTAGE POINT WEALTH MANAGEMENT
CRD#: 167886 / SEC#: 801-99343
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
Current Firm
VANTAGE POINT WEALTH MANAGEMENT
CRD#: 167886 / SEC#: 801-99343
Contact information
SEC notice filing (22 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,361 |
| AUM (Assets Under Management) | $ 277,355,003 |
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.
