Michael J. Miller

GUGGENHEIM FUNDS DISTRIBUTORS

New York, NY 10017-5001

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CRD#: 4507786

Professional summary

Michael Joseph Miller, who also goes by Michael Joseph Miller, Michael Miller, is a registered financial professional currently at GUGGENHEIM FUNDS DISTRIBUTORS, LLC located in New York, New York.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2002. Michael has worked at 13 firms and has passed the Series 63, Series 66, SIE, Series 3, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Michael Joseph Miller | Michael 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) - BD

Click below to view Michael Joseph Miller's 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

September 8, 2025 - Present

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

Office #1: 330 Madison Ave, New York, NY 10017-5001

RIA

CRD#: 39805

New York, NY

Past

November 20, 2024 - September 5, 2025

PATRICK CAPITAL MARKETS, LLC

CRD#: 16518

Irvine, CA

Past

September 22, 2017 - March 23, 2022

MFS INSTITUTIONAL ADVISORS INC.

RIA

CRD#: 107144

BOSTON, MA

Past

September 12, 2017 - March 23, 2022

MFS FUND DISTRIBUTORS, INC.

CRD#: 31052

YORK, ME

Past

September 5, 2014 - September 8, 2017

MORGAN STANLEY INVESTMENT MANAGEMENT INC.

RIA

CRD#: 110353

RONKONKOMA, NY

Past

September 3, 2014 - July 4, 2017

MORGAN STANLEY DISTRIBUTION, INC.

CRD#: 30344

NEW YORK, NY

Past

August 18, 2011 - September 15, 2014

MORGAN STANLEY

RIA

CRD#: 149777

GARDEN CITY, NY

Past

August 18, 2011 - September 15, 2014

MORGAN STANLEY

CRD#: 149777

GARDEN CITY, NY

Past

November 16, 2009 - June 10, 2011

FIRST EMPIRE ASSET MANAGEMENT, INC

RIA

CRD#: 134411

HAUPPAUGE, NY

Past

September 25, 2009 - June 10, 2011

FIRST EMPIRE SECURITIES, INC.

CRD#: 15129

HAUPPAUGE, NY

Past

February 8, 2006 - May 13, 2009

UBS FINANCIAL SERVICES INC.

CRD#: 8174

MITCHEL FIELD, NY

Past

October 24, 2005 - January 23, 2006

AMERICAN PORTFOLIOS ADVISORS, INC

RIA

CRD#: 112697

HOLBROOK, NY

Past

October 24, 2005 - January 23, 2006

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

CRD#: 18487

HOLBROOK, NY

Past

May 19, 2005 - August 31, 2005

LPL FINANCIAL LLC

RIA

CRD#: 6413

SAN DIEGO, CA

Past

February 23, 2004 - August 31, 2005

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

March 29, 2002 - March 11, 2004

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

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".

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

CRD#: 39805 / SEC#: 801-54810, 8-48842

RIA

Registered Investment Advisory firm - SEC (8/26/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Connecticut
(9/8/2025)

New Jersey
(9/8/2025)

New York
(9/9/2025)

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

Series 63

Date: 12/16/2024

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 11/13/2009

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 11/15/2007

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 3/28/2002

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 4/11/2006

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 3/2/2006

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

Current Firm

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

CRD#: 39805 / SEC#: 801-54810, 8-48842

RIA

Registered Investment Advisory firm - SEC (8/26/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

227 West Monroe Street 7th Floor, Chicago, IL 60606

Mailing Address

702 King Farm Blvd Ste 200, Rockville, MD 20850

Phone number

(312) 357-0287

Established

Delaware since 11/09/1995

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

250

SEC notice filing (2 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
GUGGENHEIM FUNDS SERVICES, LLC	MEMBER
CHAN, YING	FINANCIAL AND OPERATIONS PRINCIPAL	4956885
COGLIANDRO, DOMINICK NMN	CHIEF OPERATING OFFICER, UNIT INVESTMENT TRUST BUSINESS	1490945
DILORENZO, DINA MARIE	PRESIDENT OF THE BROKER DEALER, GUGGENHEIM FUNDS DISTRIBUTORS, LLC	2664787
LEE, AMY JO	GENERAL COUNSEL, SECRETARY, AND SENIOR MANAGING DIRECTOR	1161869
METZGER, DENNIS RYAN	CHIEF COMPLIANCE OFFICER	4888899
MILLER, ELISABETH ANN	SENIOR MANAGING DIRECTOR	4381813
PARISI, CHRISTOPHER VITO	HEAD OF DISTRIBUTION, SENIOR MANAGING DIRECTOR	2410528

Regulatory assets under management

Total Number of Accounts	279
AUM (Assets Under Management)	$ 6,850,185,742

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

Michael J. Miller

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Joseph Miller's CRS (Customer Relationship Summary).

Certified licenses

Experience

PATRICK CAPITAL MARKETS, LLC

MFS INSTITUTIONAL ADVISORS INC.

MFS FUND DISTRIBUTORS, INC.

MORGAN STANLEY INVESTMENT MANAGEMENT INC.

MORGAN STANLEY DISTRIBUTION, INC.

MORGAN STANLEY

MORGAN STANLEY

FIRST EMPIRE ASSET MANAGEMENT, INC

FIRST EMPIRE SECURITIES, INC.

UBS FINANCIAL SERVICES INC.

AMERICAN PORTFOLIOS ADVISORS, INC

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/16/2024

Series 66

Date: 11/13/2009

SIE

Date: 10/1/2018

Series 3

Date: 11/15/2007

Series 7

Date: 3/28/2002

Series 10

Date: 4/11/2006

Series 9

Date: 3/2/2006

FINRA

Current Firm

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

Contact information

SEC notice filing (2 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

TRUST BUT VERIFY

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