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Eileen Elizabeth Miller

CRD# 4699101·Registered 2004 - 2013
Previously Registered: Being a previously registered professional could mean that Eileen 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.

Professional Summary

Eileen Elizabeth Miller was a registered financial advisor. Eileen was a previously registered financial professional and started their career in finance 2004 - 2013. Eileen had worked at 3 firms and has passed the Series 63 and Series 6 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

22 years in the financial services industry

Current & Past Employments

FIRST INDEPENDENT FINANCIAL SERVICES, INC.·CRD# 128904
BD
Del City, OK
April 1, 2010 - March 1, 2013
LPL FINANCIAL LLC·CRD# 6413
BD
Edmond, OK
October 22, 2008 - April 7, 2010
PFS INVESTMENTS INC.·CRD# 10111
BD
Duluth, GA
September 6, 2004 - October 23, 2008

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Current Firm

FI
FIRST INDEPENDENT FINANCIAL SERVICES, INC.

FIRST INDEPENDENT ADVISORY SERVICES, INC. | FIRST INDEPENDENT FINANCIAL SERVICES, INC.

CRD#: 128904 / SEC#: 8-66183
BD
Terminated by SEC on 02/15/2016

Contact Information

Established

Oklahoma since 03/27/2003

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
PALMER, PHILLIP HOWARDPRESIDENT/SEC./TREAS./CCO1037871
BENNETT, NOEL DAVIDCHIEF OPERATIONS OFFICER1751557
PATTERSON, RICHARD EUGENECHIEF FINANCIAL OFFICER1762082

Disclosures

Arbitration

1

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Oct 2004About the Series 63 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Sep 2004About the Series 6 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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