Greg H. Miller

GUARDIAN CAPITAL

Wexford, PA 15090

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CRD#: 4628226

Professional summary

Greg H Miller, who also goes by Gregory Howard Miller, is a registered financial advisor currently at GUARDIAN CAPITAL, LLC located in Wexford, Pennsylvania.

Greg is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Greg has worked at 7 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Gregory Howard 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.

1) GREG MILLER & ASSOCIATES. PARTNER - ESTATE PLANNING SERVICES AND INSURANCE PRODUCTS SUCH AS LIFE AND FIXED ANNUITIES. APPROX. CONSULT WITH CLIENTS ON ESTATE PLANNING. 50-80 HOURS/MONTH. 2) SPORTSCLIPS; FRANCHISE OWNER; PA; JANUARY 2013

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Greg H Miller's CRS (Customer Relationship Summary).

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

January 31, 2011 - Present

GUARDIAN CAPITAL, LLC

Office #1: 109 Vip Drive, Wexford, PA 15090

RIA

CRD#: 156015

Wexford, PA

Past

December 3, 2008 - November 10, 2010

LPL ENTERPRISE, LLC

CRD#: 8733

WEXFORD, PA

Past

June 13, 2005 - December 4, 2008

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

WEXFORD, PA

Past

June 6, 2005 - December 4, 2008

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WEXFORD, PA

Past

December 1, 2004 - June 2, 2005

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

WEXFORD, PA

Past

December 1, 2004 - June 2, 2005

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

April 30, 2004 - December 7, 2004

LEGACY ADVISORY SERVICES, INC.

RIA

CRD#: 111027

ALLISON PARK, PA

Past

February 18, 2003 - December 7, 2004

LEGACY FINANCIAL SERVICES, INC.

CRD#: 38697

PETALUMA, CA

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".

GUARDIAN CAPITAL, LLC

CRD#: 156015 / SEC#: 801-131430

RIA

Registered Investment Advisory firm - (11/6/2024 Approved)

Pennsylvania

Registered Investment Advisory firm - (11/13/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Pennsylvania
(1/31/2011)

IAR

Texas
(2/25/2025)

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

IAR

Series 65

Date: 4/29/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/21/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/7/2008

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/14/2003

Investment Company Products/Variable Contracts Representative Examination

Current Firm

GUARDIAN CAPITAL, LLC

CRD#: 156015 / SEC#: 801-131430

RIA

Registered Investment Advisory firm - (11/6/2024 Approved)

Pennsylvania

Registered Investment Advisory firm - (11/13/2024 Terminated)

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Contact information

Main Address

109 Vip Drive, Wexford, PA 15090

Mailing Address

Phone number

(724) 934-3050

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART SEC 2A (5/1/2025)

Regulatory assets under management

Total Number of Accounts	269
AUM (Assets Under Management)	$ 102,626,600

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

Greg H. Miller

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Greg H Miller's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL ENTERPRISE, LLC

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

LEGACY ADVISORY SERVICES, INC.

LEGACY FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

GUARDIAN CAPITAL, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/29/2004

Series 63

Date: 2/21/2003

Series 7

Date: 3/7/2008

Series 6

Date: 2/14/2003

Current Firm

GUARDIAN CAPITAL, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GUARDIAN CAPITAL, LLC

TRUST BUT VERIFY

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