Michael J. Miller
Professional summary
Michael Joseph Miller, who also goes by Michael Joseph Miller, Michael Miller, is a registered financial professional currently at TRANSAMERICA CAPITAL, LLC located in Denver, Colorado.
Michael is registered as a RR (Registered Representative) and started their career in finance in 2002. Michael has worked at 14 firms and has passed the Series 63, Series 66, SIE, Series 3, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael Joseph Miller's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 10, 2026 - Present
TRANSAMERICA CAPITAL, LLC
Office #1: 1801 California St Suite 5200, Denver, CO 80202September 8, 2025 - January 28, 2026
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
November 20, 2024 - September 5, 2025
PATRICK CAPITAL MARKETS, LLC
September 22, 2017 - March 23, 2022
MFS INSTITUTIONAL ADVISORS INC.
September 12, 2017 - March 23, 2022
MFS FUND DISTRIBUTORS, INC.
September 5, 2014 - September 8, 2017
MORGAN STANLEY INVESTMENT MANAGEMENT INC.
September 3, 2014 - July 4, 2017
MORGAN STANLEY DISTRIBUTION, INC.
August 18, 2011 - September 15, 2014
MORGAN STANLEY
August 18, 2011 - September 15, 2014
MORGAN STANLEY
November 16, 2009 - June 10, 2011
FIRST EMPIRE ASSET MANAGEMENT, INC
September 25, 2009 - June 10, 2011
FIRST EMPIRE SECURITIES, INC.
February 8, 2006 - May 13, 2009
UBS FINANCIAL SERVICES INC.
October 24, 2005 - January 23, 2006
AMERICAN PORTFOLIOS ADVISORS, INC
October 24, 2005 - January 23, 2006
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
May 19, 2005 - August 31, 2005
LPL FINANCIAL LLC
February 23, 2004 - August 31, 2005
LPL FINANCIAL LLC
March 29, 2002 - March 11, 2004
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/11/2026)
Exams
FINRA
Current Firm
TRANSAMERICA CAPITAL, LLC
CRD#: 8217 / SEC#: , 8-24829
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AUSA HOLDING, LLC | PARENT | |
| ACKERMAN, TIMOTHY LEON | DIRECTOR; PRESIDENT, ASSET MANAGEMENT DISTRIBUTION | 2311523 |
| BEITZEL, BRIAN | DIRECTOR, CHIEF FINANCIAL OFFICER, TREASURER | 6183770 |
| CRESSMAN, JONATHAN SCOTT | PRESIDENT, ANNUITY DISTRIBUTION | 2837287 |
| HALLORAN, MARK FRANCIS | DIRECTOR | 1128889 |
| HELLERMAN, DOUGLAS | CHIEF COMPLIANCE OFFICER | 4696681 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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