SM
Scott W. Miller
CETERA INVESTMENT ADVISERS LLC
COLORADO SPRINGS, CO 80917
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CRD#: 4589558
SM
Professional summary
Scott William Miller, AIF® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Colorado Springs, Colorado and CETERA ADVISORS LLC located in Colorado Springs, Colorado.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Scott has worked at 4 firms and has passed the Series 66, SIE 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.
1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 1/2023; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, LONG-TERM CARE AND OTHER -TRANSAMERICA LIFE; 2. NAME OF OTHER BUSINESS: MILLENIUM FINANCIAL GROUP INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 11/29/2012 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: FINANCIAL ADVISOR 3. COLORADO HUSKERS, INC, INVESTMENT RELATED, SAME AS RESIDENTIAL LOCATION, S CORP, STARTED 06/2013, OWNER, LESS THAN ONE HOUR PER WEEK, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: S CORP FOR EXPENSE MANAGEMENT 4. NAME OF OTHER BUSINESS: HABITAT FOR HUMANITY; INVESTMENT RELATED: NO; ADDRESS: 2802 N PROSPECT ST COLORADO SPRINGS, CO 80907; NATURE OF BUSINESS: NON PROFIT; START DATE: 9/2022; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: VARIES; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: FINANCE AND GOVERNANCE COMMITTIES, OVERSIGHT, REVIEW ACCOUNT MONTHLY;
CRS (Client Relationship Summary) - RIA
Click below to view Scott William 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®
Experience
Current
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 3204 N. Academy Blvd Ste 310, Colorado Springs, CO 80917RIA
CRD#: 105644
COLORADO SPRINGS, CO
Current
December 7, 2012 - Present
CETERA ADVISORS LLC
Office #1: 3204 N. Academy Blvd Ste 310, Colorado Springs, CO 80917BD
CRD#: 10299
Colorado Springs, CO
Past
December 7, 2012 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
Past
April 10, 2006 - November 6, 2012
NEW ENGLAND SECURITIES
RIA
CRD#: 615
COLORADO SPRINGS, CO
Past
July 26, 2004 - November 6, 2012
NEW ENGLAND SECURITIES
BD
CRD#: 615
COLORADO SPRINGS, CO
Past
January 30, 2003 - July 13, 2004
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
COLORADO SPRINGS, CO
Past
November 13, 2002 - July 13, 2004
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)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.RR
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
RR
Alabama(2/13/2025)
RR
Alaska(10/10/2025)
RR
Arizona(9/18/2015)
RR
Arkansas(1/11/2022)
RR
California(10/29/2013)
RR
Colorado(12/7/2012)
IAR
Colorado(3/21/2024)
RR
Florida(6/19/2013)
RR
Hawaii(1/2/2025)
RR
Idaho(3/25/2024)
RR
Iowa(1/5/2016)
RR
Kansas(1/2/2014)
RR
Kentucky(10/6/2020)
RR
Massachusetts(5/8/2025)
RR
Michigan(1/2/2013)
RR
Mississippi(1/2/2024)
RR
Missouri(3/6/2023)
RR
Montana(1/2/2024)
RR
Nebraska(9/19/2023)
RR
Nevada(7/31/2020)
RR
North Carolina(7/26/2018)
RR
Ohio(9/29/2015)
RR
Oregon(6/30/2025)
RR
Pennsylvania(3/24/2017)
RR
South Dakota(1/2/2024)
RR
Tennessee(12/18/2023)
RR
Texas(6/19/2013)
IAR
Texas(3/21/2024)
RR
Utah(6/10/2021)
RR
Washington(2/16/2021)
RR
Wisconsin(7/26/2018)
RR
Wyoming(6/21/2013)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Colorado Springs, CO 80917TRUST BUT VERIFY
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