Dale W. Miller

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CRD#: 4234170

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.

Dale William Miller, who also goes by Dale Williams Miller, was a registered financial professional .

Dale is a previously registered financial professional and started their career in finance in 2000. Dale had worked at 10 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Dale Williams 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)

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®

None

Experience

Past

May 11, 2016 - June 6, 2018

LFA

RIA

CRD#: 114674

ST. CLOUD, MN

Past

February 18, 2016 - June 18, 2018

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

ST. CLOUD, MN

Past

January 31, 2014 - January 28, 2016

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

SAINT CLOUD, MN

Past

September 4, 2013 - January 28, 2016

SECURITIES AMERICA, INC.

CRD#: 10205

SAINT CLOUD, MN

Past

April 5, 2012 - May 24, 2013

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

ST CLOUD, MN

Past

January 5, 2007 - November 17, 2009

BANCNORTH INVESTMENT GROUP, INC.

CRD#: 31299

ST. CLOUD, MN

Past

January 5, 2007 - December 31, 2010

GUARANTY BROKERAGE SERVICES, INC.

CRD#: 23302

ST. CLOUD, MN

Past

January 5, 2007 - January 9, 2012

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

ST. CLOUD, MN

Past

August 18, 2000 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

August 18, 2000 - December 13, 2006

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

ST. CLOUD, MN

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".

LFA

LARAWAY FINANCIAL ADVISORS, INC. | LFA

CRD#: 114674 / SEC#: 801-63115

RIA

Registered Investment Advisory firm - (5/14/2004 Approved)

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.

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: 8/29/2000

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 6/18/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/17/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/18/2007

General Securities Principal Examination

Current Firm

LFA

LARAWAY FINANCIAL ADVISORS, INC. | LFA

CRD#: 114674 / SEC#: 801-63115

RIA

Registered Investment Advisory firm - (5/14/2004 Approved)

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Contact information

Main Address

1219 - 33rd Street South, St. Cloud, MN 56301

Mailing Address

Phone number

(320) 253-2490

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LFA ADV BROCHURE (2/4/2025)

Regulatory assets under management

Total Number of Accounts	803
AUM (Assets Under Management)	$ 309,222,813

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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Advisor Monitoring

Firm Stability Insights

Dale W. Miller

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH, INC.

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

BANCNORTH INVESTMENT GROUP, INC.

GUARANTY BROKERAGE SERVICES, INC.

CETERA INVESTMENT SERVICES LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

LFA

State Registrations and Notice Filings

Exams

Series 66

Date: 8/29/2000

SIE

Date: 6/18/2018

Series 7

Date: 8/17/2000

Series 24

Date: 4/18/2007

Current Firm

LFA

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LFA

TRUST BUT VERIFY

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