Shane E. Miller
Professional summary
Shane Eli Miller is a registered financial advisor currently at UNITED ASSET STRATEGIES INC. located in Garden City, New York.
Shane is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Shane has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Shane Eli Miller's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 11, 2021 - Present
UNITED ASSET STRATEGIES INC.
Office #1: 377 Oak Street Suite 403, Garden City, NY 11530February 6, 2012 - December 31, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 6, 2012 - January 11, 2021
TD AMERITRADE, INC.
February 6, 2012 - January 11, 2021
TD AMERITRADE, INC.
October 4, 2006 - January 5, 2012
CHASE INVESTMENT SERVICES CORP.
October 4, 2006 - January 5, 2012
CHASE INVESTMENT SERVICES CORP.
March 29, 2006 - October 4, 2006
BNY INVESTMENT CENTER INC.
March 28, 2006 - October 4, 2006
BNY INVESTMENT CENTER INC.
October 14, 2003 - February 6, 2006
BNY MELLON SECURITIES CORPORATION
May 30, 2000 - February 6, 2006
BNY MELLON SECURITIES CORPORATION
Primary Firm SEC Registration
UNITED ASSET STRATEGIES INC.
CRD#: 107434 / SEC#: 801-41464
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(7/11/2021)
Exams
Current Firm
UNITED ASSET STRATEGIES INC.
CRD#: 107434 / SEC#: 801-41464
Contact information
SEC notice filing (24 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,029 |
| AUM (Assets Under Management) | $ 1,844,600,000 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/13/2025 | ||
| 01/27/2025 | ||
| 09/04/2024 | ||
| 12/20/2023 | ||
| 01/23/2023 | ||
| 05/02/2022 |
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.
