John A. 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.
John Anthony Miller was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2001. John had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 6, 2020 - June 7, 2021
USAA INVESTMENT SERVICES COMPANY
June 8, 2020 - June 7, 2021
USAA INVESTMENT SERVICES COMPANY
January 8, 2018 - July 30, 2020
USAA INVESTMENT SERVICES COMPANY
June 27, 2013 - January 8, 2018
USAA FINANCIAL PLANNING SERVICES
June 14, 2013 - June 8, 2020
USAA FINANCIAL ADVISORS, INC.
February 1, 2010 - June 13, 2013
LPL FINANCIAL LLC
February 1, 2010 - June 13, 2013
LPL FINANCIAL LLC
October 23, 2009 - February 2, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - February 2, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 17, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 31, 2007 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
February 7, 2007 - November 1, 2007
BBVA COMPASS INVESTMENT SOLUTIONS, INC
June 21, 2006 - January 26, 2007
KEY INVESTMENT SERVICES LLC
October 4, 2005 - March 14, 2006
NATCITY INVESTMENTS, INC.
May 17, 2002 - August 22, 2003
NATCITY INVESTMENTS, INC.
November 1, 2001 - January 17, 2002
THE HUNTINGTON INVESTMENT COMPANY
Primary Firm SEC Registration
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| USAA INVESTMENT CORPORATION (PARENT CO.) | SHAREHOLDER | |
| BEALL, KEVIN DOUGLAS | VICE PRESIDENT, DIRECTOR | 4202452 |
| CARTER, BRANDON DANE | DIRECTOR, CHAIRMAN OF THE BOARD | 2939393 |
| ECK, FRANK THOMAS IV | SECRETARY | 7979835 |
| FLORES, JENNIFER MARGRET | FINOP AND PRINCIPAL FINANCIAL OFFICER | 4175069 |
| HANKS, KARE ELIZABETH | DIRECTOR, VICE PRESIDENT | 2883762 |
| MUIR, JAMES DYER | CHIEF COMPLIANCE OFFICER | 2801996 |
| PEREZ-ROSSELLO, MADELINE IVETTE | ASSISTANT VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 4033239 |
| STORK, MARY ELIZABETH | DIRECTOR | 2960253 |
| WHITE, WILLIAM SWEENEY | PRESIDENT, VICE-CHAIRMAN, DIRECTOR | 4843743 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 4 |
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.
