Christopher E. Miller

SAFEGUARD INVESTMENT ADVISORY GROUP

Corona, CA 92883

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CRD#: 4216931

Professional summary

Christopher Edward Miller is a registered financial advisor currently at SAFEGUARD INVESTMENT ADVISORY GROUP, LLC located in Corona, California.

Christopher is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Christopher has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 3 and Series 7 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.

NAME OF BUSINESS:ASSET MARKETING SYSTEMS INVESTMENT RELATED: YES ADDRESS: 15050 AVENUE OF SCIENCE, SUITE 100, SAN DIEGO CA 92128. NATURE: FINANCIAL SERVICES. TITLE: VP, BUSINESS CONSULTANT.RELATIONSHIP: RECRUIT AND TRAIN ADVISORS. START DATE: 08/03/2015. HOURS/MONTH:40 TRADING HOURS:40; NAME OF BUSINESS:CHICKPEA KITCHEN LLC. INVESTMENT RELATED: NO ADDRESS: 6965 EL CAMINO REAL, SUITE 105-658 CARLSBAD, CA 92009. NATURE: FOOD SERVICE. RELATIONSHIP:CO-OWNER START DATE:01/28/2014. HOURS/MONTH: 16 TRADING HOURS: 0 DUTIES: CFO

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Edward 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®

None

Experience

Current

December 21, 2017 - Present

SAFEGUARD INVESTMENT ADVISORY GROUP, LLC

Office #1: 4160 Temescal Canyon Road Suite 307, Corona, CA 92883

RIA

CRD#: 146132

Corona, CA

Past

August 28, 2015 - October 17, 2017

MADISON AVENUE SECURITIES, LLC

CRD#: 23224

SAN DIEGO, CA

Past

August 26, 2015 - October 17, 2017

MADISON AVENUE SECURITIES, LLC

RIA

CRD#: 23224

SAN DIEGO, CA

Past

July 5, 2012 - May 5, 2014

ALPHAMAX DISTRIBUTORS, L.L.C.

CRD#: 8258

LA JOLLA, CA

Past

January 5, 2010 - June 27, 2012

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

SAN DIEGO, CA

Past

December 22, 2009 - June 26, 2012

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SAN DIEGO, CA

Past

May 29, 2007 - December 14, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

SANTA MONICA, CA

Past

May 29, 2007 - December 14, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

SANTA MONICA, CA

Past

January 29, 2007 - May 29, 2007

CITICORP INVESTMENT SERVICES

RIA

CRD#: 23988

LOS ANGELES, CA

Past

January 29, 2007 - May 29, 2007

CITICORP INVESTMENT SERVICES

CRD#: 23988

LOS ANGELES, CA

Past

April 25, 2006 - December 20, 2006

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

CARLSBAD, CA

Past

September 20, 2004 - December 20, 2006

TD AMERITRADE, INC.

RIA

CRD#: 7870

BEVERLY HILLS, CA

Past

September 19, 2000 - December 20, 2006

TD AMERITRADE, INC.

CRD#: 7870

BEVERLY HILLS, CA

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".

SAFEGUARD INVESTMENT ADVISORY GROUP, LLC

10 RETIREMENT | SAFEGUARD INVESTMENT ADVISORY GROUP, LLC | SAFEGUARD INVESTMENT ADVISORY GROUP

CRD#: 146132 / SEC#: 801-110651

RIA

Registered Investment Advisory firm - (5/31/2017 Approved)

California

Registered Investment Advisory firm - (7/14/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

California
(12/21/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/15/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/29/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/17/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 9/10/2012

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 9/18/2000

General Securities Representative Examination

Current Firm

SAFEGUARD INVESTMENT ADVISORY GROUP, LLC

10 RETIREMENT | SAFEGUARD INVESTMENT ADVISORY GROUP, LLC | SAFEGUARD INVESTMENT ADVISORY GROUP

CRD#: 146132 / SEC#: 801-110651

RIA

Registered Investment Advisory firm - (5/31/2017 Approved)

California

Registered Investment Advisory firm - (7/14/2017 Terminated)

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Contact information

Main Address

4160 Temescal Canyon Road Suite 307, Corona, CA 92883

Mailing Address

Phone number

(877) 213-7233

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SAFEGUARD INVESTMENT ADVISORY GROUP, LLC ADV BROCHURE (3/26/2025)

Regulatory assets under management

Total Number of Accounts	3,452
AUM (Assets Under Management)	$ 603,514,079

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.

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Firm Stability Insights

Christopher E. Miller

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Edward Miller's CRS (Customer Relationship Summary).

Certified licenses

Experience

MADISON AVENUE SECURITIES, LLC

MADISON AVENUE SECURITIES, LLC

ALPHAMAX DISTRIBUTORS, L.L.C.

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

CITICORP INVESTMENT SERVICES

CITICORP INVESTMENT SERVICES

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

TD AMERITRADE, INC.

Primary Firm SEC Registration

SAFEGUARD INVESTMENT ADVISORY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/15/2004

Series 63

Date: 9/29/2000

SIE

Date: 10/17/2017

Series 3

Date: 9/10/2012

Series 7

Date: 9/18/2000

Current Firm

SAFEGUARD INVESTMENT ADVISORY GROUP, LLC

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SAFEGUARD INVESTMENT ADVISORY GROUP, LLC

TRUST BUT VERIFY

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