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Laif Lawrence Miller

Laif L. Miller

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CRD#: 4175754
Laif Lawrence 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.

Laif Lawrence Miller, CFP®, who also goes by Laif Lawrence Miller, Laif Miller, was a registered financial professional .

Laif is a previously registered financial professional and started their career in finance in 2000. Laif had worked at 9 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7, Series 10 and Series 9 exams.

Biography

Laif focuses on the needs and objectives of clients by providing personalized wealth management solutions to help them achieve their long-term goals. Laif has a bachelor’s degree in business economics from the University of Cincinnati.
top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Laif Lawrence Miller | Laif Miller

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.
MARINER WEALTH ADVISORS, 5700 W. 112th St., Suite 500, Overland Park, KS 66211; INVESTMENT RELATED; INVESTMENT ADVISOR REP; 40 HRS/WK DURING SECURITIES HOURS. MSEC LLC; 5700 W. 112th St., Suite 500, Overland Park, KS 66211; INVESTMENT RELATED; REG REP; 40 HRS/WK DURING SECURITIES HOURS.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®

Certified Financial Planner

Experience

Past

January 22, 2025 - May 16, 2025

MSEC, LLC

BD
CRD#: 154327
West Chester, OH
Past

August 15, 2022 - May 16, 2025

MARINER WEALTH

RIA
CRD#: 140195
West Chester, OH
Past

May 13, 2021 - June 28, 2022

KALOS MANAGEMENT

RIA
CRD#: 133025
Dayton, OH
Past

May 13, 2021 - June 28, 2022

KALOS CAPITAL, INC.

BD
CRD#: 44337
Dayton, OH
Past

September 11, 2020 - April 28, 2021

PRUCO SECURITIES, LLC.

RIA
CRD#: 5685
CINCINNATI, OH
Past

September 11, 2020 - April 28, 2021

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
CINCINNATI, OH
Past

August 20, 2019 - March 27, 2020

VALIC FINANCIAL ADVISORS, INC.

RIA
CRD#: 42803
COLUMBUS, OH
Past

August 20, 2019 - March 27, 2020

VALIC FINANCIAL ADVISORS, INC.

BD
CRD#: 42803
COLUMBUS, OH
Past

July 13, 2018 - April 25, 2019

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA
CRD#: 288590
BOSTON, MA
Past

February 4, 2008 - July 13, 2018

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
BEAVERCREEK, OH
Past

August 14, 2001 - January 22, 2003

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
NOVI, MI
Past

May 15, 2000 - April 23, 2019

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
BEAVERCREEK, OH

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/27/2001
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 5/25/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/11/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 8/26/2013
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 5/6/2013
General Securities Sales Supervisor - Options Module Examination

Current Firm

ML
MSEC, LLC
MARINER | MSEC, LLC | MONTAGE SECURITIES, LLC | MARINER WEALTH ADVISORS | MARINER WEALTH

CRD#: 154327 / SEC#: , 8-68627

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
5700 W 112th Street Suite 500, Overland Park, KS 66211
Mailing Address
5700 W 112th Street Suite 500, Overland Park, KS 66211
Phone number
(913) 904-5700
Established
Delaware since 05/13/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
MARINER WEALTH ADVISORS, LLCMEMBER
DORIAN, ANNE JENELLEPRESIDENT5736231
ERSKINE, ANN TERESACHIEF COMPLIANCE OFFICER5071135
STEIGHNER, KAREN ANNPFO/POO/FINOP1100675

Disclosures

Regulatory Event1

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

MSEC, LLC

Wealth AdvisorCRD#: 154327

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Contact information

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xxxxx@xxxx.xxx

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