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NM

Nathaniel J. Miller

THE WELLINGTON GRP LLC
INDIANAPOLIS, IN 46240
Some features on this profile are disabled
CRD#: 4201700
NM

Professional summary

Nathaniel John Miller, ChFC®, CLU®, who also goes by Nate Miller, is a registered financial advisor currently at THE WELLINGTON GRP LLC located in Indianapolis, Indiana and PURSHE KAPLAN STERLING INVESTMENTS located in Albany, New York.

Nathaniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Nathaniel has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24, Series 51 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Nate 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nathaniel John Miller's CRS (Customer Relationship Summary).
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®
ChFC®

Chartered Financial Consultant

CLU®

Chartered Life Underwriter

Experience

Current

October 22, 2024 - Present

THE WELLINGTON GRP LLC

Office #1: 9000 Keystone Crossing Suite 400, Indianapolis, IN 46240
RIA
CRD#: 332803
INDIANAPOLIS, IN
Current

October 13, 2023 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 80 State Street, Albany, NY 12207Office #2: 9000 Keystone Crossing #400, Indianapolis, IN 46240
BD
CRD#: 35747
ALBANY, NY
Past

January 3, 2025 - December 31, 2025

WELLINGTON WEALTH STRATEGIES, LLC

RIA
CRD#: 306298
Indianapolis, IN
Past

September 1, 2023 - December 31, 2024

WELLINGTON WEALTH STRATEGIES, LLC

RIA
CRD#: 306298
INDIANAPOLIS, IN
Past

January 12, 2017 - September 7, 2023

PARK AVENUE SECURITIES LLC

RIA
CRD#: 46173
INDIANAPOLIS, IN
Past

January 10, 2017 - September 7, 2023

PARK AVENUE SECURITIES LLC

BD
CRD#: 46173
INDIANAPOLIS, IN
Past

May 20, 2002 - July 27, 2016

PRUCO SECURITIES, LLC.

RIA
CRD#: 5685
INDIANAPOLIS, IN
Past

June 27, 2000 - July 27, 2016

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
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".
TW
THE WELLINGTON GRP LLC
THE WELLINGTON GROUP | WELLINGTONWS, LLC | THE WELLINGTON GRP LLC

CRD#: 332803 / SEC#: 801-131076

RIA
Registered Investment Advisory firm - (9/6/2024 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
(11/17/2023)
RR
Arizona
(11/17/2023)
RR
Arkansas
(11/17/2023)
RR
California
(11/17/2023)
RR
Colorado
(11/17/2023)
RR
District of Columbia
(11/17/2023)
RR
Florida
(10/13/2023)
RR
Georgia
(11/17/2023)
RR
Idaho
(11/17/2023)
RR
Illinois
(10/13/2023)
RR
Indiana
(10/13/2023)
IAR
Indiana
(10/22/2024)
RR
Kansas
(11/17/2023)
RR
Kentucky
(11/17/2023)
RR
Louisiana
(11/17/2023)
RR
Maine
(11/17/2023)
RR
Maryland
(11/17/2023)
RR
Massachusetts
(11/17/2023)
RR
Michigan
(11/17/2023)
RR
Missouri
(11/17/2023)
RR
Nevada
(11/17/2023)
RR
New Jersey
(11/17/2023)
RR
New Mexico
(11/17/2023)
RR
New York
(11/17/2023)
RR
North Carolina
(11/17/2023)
RR
Ohio
(11/17/2023)
RR
Oregon
(11/17/2023)
RR
Pennsylvania
(11/17/2023)
RR
South Carolina
(11/17/2023)
RR
Tennessee
(11/17/2023)
RR
Texas
(11/17/2023)
RR
Utah
(11/17/2023)
RR
Virginia
(11/17/2023)
RR
Washington
(11/17/2023)
RR
Wisconsin
(11/17/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/14/2002
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/5/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/14/2003
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 6/26/2000
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/13/2017
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 51
Date: 6/30/2008
Municipal Fund Securities Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 9/29/2003
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TW
THE WELLINGTON GRP LLC
THE WELLINGTON GROUP | WELLINGTONWS, LLC | THE WELLINGTON GRP LLC

CRD#: 332803 / SEC#: 801-131076

RIA
Registered Investment Advisory firm - (9/6/2024 Approved)
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Contact information

Main Address
9000 Keystone Crossing Suite 400, Indianapolis, IN 46240
Mailing Address
Phone number
(317) 846-5055
Established
Firm type
Fiscal year end
# of Employees
10

SEC notice filing (2 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

TWG ADV PART 2A (7/31/2025)

Regulatory assets under management

Total Number of Accounts240
AUM (Assets Under Management)$ 136,422,525

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

THE WELLINGTON GRP LLC

CRD#: 332803Indianapolis, IN 46240

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