Daniel S. Miller
USA FINANCIAL SECURITIES LLC
Oakland, IA 51560
Some features on this profile are disabled
CRD#: 4797752
Professional summary
Daniel Scott Miller, CFP®, who also goes by Dan Miller, is a registered financial advisor currently at USA FINANCIAL SECURITIES LLC located in Oakland, Iowa.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Daniel has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dan 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) MILESTONE FINANCIAL GROUP, INC. - 610 SENATE AVE BOX 637, RED OAK. START DATE 07/11/2016. LICENSED AGENT. SELL FIXED ANNUITIES AND INSURANCE. INVESTMENT RELATED. 8 HOURS PER MONTH DEVOTED TO BUSINESS. 8 HOURS PER MONTH DEVOTED DURING SECURITIES TRADING HOURS. 2) MILESTONE FINANCIAL GROUP, INC. - 610 SENATE AVE BOX 637, RED OAK. START DATE 04/05/2024. PRESIDENT/ADVISOR. ESTATE PLANNING FACILIATION UTILIZING WEALTH.COM NOT INVESTMENT RELATED. 1 HOUR PER MONTH DEVOTED TO BUSINESS. 1 HOUR PER MONTH DEVOTED DURING SECURITIES TRADING HOURS. 3) MILESTONE FINANCIAL GROUP, INC. - 610 SENATE AVE BOX 637, RED OAK. START DATE 03/13/2024. LICENSED AGENT. MEDICARE PLANNING SERVICES. CHARGING FEES FOR MEDICARE ADVISE. NOT INVESTMENT RELATED. 1 HOUR PER MONTH DEVOTED TO BUSINESS. 1 HOUR PER MONTH DEVOTED DURING SECURITIES TRADING HOURS. 4) MILESTONE FINANCIAL GROUP, INC. 610 SENATE AVE BOX 637, RED OAK. START DATE 05/24/2023. PRESIDENT AND 1/2 OWNER. DBA ENTITY. INVESTMENT RELATED. 240 HOURS PER MONTH DEVOTED TO BUSINESS. 180 HOURS PER MONTH DEVOTED DURING SECURITIES TRADING HOURS. 5) MILESTONE FINANCIAL TAX AND BUSINESS SERVICES, LLC. - 610 SENATE AVE BOX 637, RED OAK. START DATE 05/05/2025. PRESIDENT AND MANAGING MEMBER OF LLC. TAX PLANNING/PREPARATION/CPA. OVERSEE OPERATIONS. NOT INVESTMENT RELATED. 10 HOURS PER MONTH DEVOTED TO BUSINESS. 10 HOURS PER MONTH DEVOTED DURING SECURITIES TRADING HOURS. 6) PNMI PROPERTIES, LLC - 610 SENATE AVE BOX 637, RED OAK. START DATE 07/18/2016. MANAGING MEMBER OF LLC. REAL ESTATE. THIS ENTITY OWNS THE BUILDING HOUSING OUR FIRM. NOT INVESTMENT RELATED. 5 HOURS PER MONTH DEVOTED TO BUSINESS. 5 HOURS PER MONTH DEVOTED DURING SECURITIES TRADING HOURS. 7) RETIREMENT BUILT TO LAST - 610 SENATE AVE BOX 637, RED OAK. START DATE 01/03/2017. AUTHOR OF BOOK, SALES ON AMAZON. NOT INVESTMENT RELATED. 1 HOUR PER MONTH DEVOTED TO BUSINESS. 0 HOURS DEVOTED DURING SECURITIES TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Scott Miller's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Daniel Scott 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®
CFP®
Start date: 2008
Experience
Current
May 13, 2016 - Present
USA FINANCIAL SECURITIES LLC
Office #1: 101 N. Main St. #6, Oakland, IA 51560Office #2: 610 Senate Ave. , Red Oak, IA 51566Office #3: 505 N. 3rd St, Red Oak, IA 51566Office #4: 2111 South 67th St., Suite 3000, Omaha, NE 68106RIA
BD
CRD#: 103857
Oakland, IA
Current
May 13, 2016 - Present
USA FINANCIAL SECURITIES LLC
Office #1: 101 N. Main St. #6, Oakland, IA 51560Office #2: 610 Senate Ave. , Red Oak, IA 51566Office #3: 2111 South 67th St., Suite 3000, Omaha, NE 68106RIA
BD
CRD#: 103857
Oakland, IA
Past
February 9, 2006 - May 13, 2016
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
SHENANDOAH, IA
Past
May 24, 2004 - May 13, 2016
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
SHENANDOAH, IA
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".
UF
USA FINANCIAL SECURITIES LLC
USA FINANCIAL | USA FINANCIAL SECURITIES LLC | USA FINANCIAL SECURITIES CORPORATION | USA FINANCIAL ASSET MANAGEMENT
CRD#: 103857 / SEC#: 801-68276, 8-52342
RIA
Registered Investment Advisory firm - SEC (8/24/2007 Approved)Arizona
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Arkansas
Registered Investment Advisory firm - SEC (9/12/2007 Terminated)California
Registered Investment Advisory firm - SEC (8/31/2007 Terminated)Colorado
Registered Investment Advisory firm - SEC (9/28/2007 Terminated)Connecticut
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Delaware
Registered Investment Advisory firm - SEC (9/6/2007 Terminated)Florida
Registered Investment Advisory firm - SEC (10/11/2007 Terminated)Georgia
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Illinois
Registered Investment Advisory firm - SEC (8/24/2007 Terminated)Indiana
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Iowa
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Kansas
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Kentucky
Registered Investment Advisory firm - SEC (8/31/2007 Terminated)Louisiana
Registered Investment Advisory firm - SEC (9/6/2007 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (9/5/2007 Terminated)Nevada
Registered Investment Advisory firm - SEC (9/19/2007 Terminated)New Mexico
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)North Carolina
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Ohio
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (8/24/2007 Terminated)Oregon
Registered Investment Advisory firm - SEC (8/24/2007 Terminated)South Carolina
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Tennessee
Registered Investment Advisory firm - SEC (9/29/2007 Terminated)Texas
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Utah
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Virginia
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)BD
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.
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
Arkansas(5/13/2016)
IAR
Arkansas(5/13/2016)
RR
California(1/29/2025)
RR
Colorado(5/13/2016)
IAR
Colorado(5/13/2016)
RR
Florida(5/13/2016)
IAR
Florida(5/16/2016)
RR
Georgia(9/18/2023)
IAR
Georgia(9/20/2023)
RR
Illinois(5/13/2016)
IAR
Illinois(5/13/2016)
RR
Indiana(5/13/2016)
IAR
Indiana(5/13/2016)
RR
Iowa(5/13/2016)
IAR
Iowa(5/13/2016)
RR
Kansas(5/13/2016)
IAR
Kansas(5/13/2016)
RR
Louisiana(5/13/2016)
IAR
Louisiana(5/13/2016)
RR
Maryland(3/26/2024)
RR
Minnesota(5/13/2016)
IAR
Minnesota(5/13/2016)
RR
Missouri(5/13/2016)
IAR
Missouri(5/13/2016)
RR
Nebraska(5/13/2016)
IAR
Nebraska(5/20/2016)
RR
North Carolina(5/13/2016)
IAR
North Carolina(5/13/2016)
RR
Oregon(5/13/2016)
IAR
Oregon(5/13/2016)
RR
South Carolina(5/13/2016)
IAR
South Carolina(5/13/2016)
RR
South Dakota(5/13/2016)
IAR
South Dakota(5/17/2016)
RR
Texas(4/27/2017)
IAR
Texas(4/27/2017)
RR
Wisconsin(11/11/2020)
IAR
Wisconsin(11/11/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
UF
USA FINANCIAL SECURITIES LLC
USA FINANCIAL | USA FINANCIAL SECURITIES LLC | USA FINANCIAL SECURITIES CORPORATION | USA FINANCIAL ASSET MANAGEMENT
CRD#: 103857 / SEC#: 801-68276, 8-52342
RIA
Registered Investment Advisory firm - SEC (8/24/2007 Approved)Arizona
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Arkansas
Registered Investment Advisory firm - SEC (9/12/2007 Terminated)California
Registered Investment Advisory firm - SEC (8/31/2007 Terminated)Colorado
Registered Investment Advisory firm - SEC (9/28/2007 Terminated)Connecticut
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Delaware
Registered Investment Advisory firm - SEC (9/6/2007 Terminated)Florida
Registered Investment Advisory firm - SEC (10/11/2007 Terminated)Georgia
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Illinois
Registered Investment Advisory firm - SEC (8/24/2007 Terminated)Indiana
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Iowa
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Kansas
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Kentucky
Registered Investment Advisory firm - SEC (8/31/2007 Terminated)Louisiana
Registered Investment Advisory firm - SEC (9/6/2007 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (9/5/2007 Terminated)Nevada
Registered Investment Advisory firm - SEC (9/19/2007 Terminated)New Mexico
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)North Carolina
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Ohio
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (8/24/2007 Terminated)Oregon
Registered Investment Advisory firm - SEC (8/24/2007 Terminated)South Carolina
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Tennessee
Registered Investment Advisory firm - SEC (9/29/2007 Terminated)Texas
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Utah
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Virginia
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
6020 East Fulton, Ada, MI 49301
Mailing Address
6020 East Fulton, Ada, MI 49301
Phone number
(888) 407-8198
Established
Delaware since 07/03/2024
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
166
SEC notice filing (52 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| USA FINANCIAL LLC | OWNER | |
| BACHERT, WILLIAM CLAYTON | CHIEF FINANCIAL OFFICER/FINANCIAL OPERATIONS PRINCIPAL (PRIMARY)/MUNICIPAL PRINCIPAL/DIRECTOR | 4576698 |
| ENDERS, BRENT DAVID | PRESIDENT/DIRECTOR/TRUSTEE OF BRENT D. ENDERS TRUST U/A DTD 06/17/2004 | 2858719 |
| MCCONNELL, JAMES CARROLL JR | CHIEF OPERATIONS OFFICER | 4679140 |
| MERSMAN, MARK ROBERT | CHIEF MARKETING OFFICER | 4702400 |
| THOMASON, DAWN M | CHIEF COMPLIANCE OFFICER | 5275125 |
| WALTERS, MICHAEL DAVID | CHAIRMAN OF THE BOARD/CHIEF EXECUTIVE OFFICER/DIRECTOR/TRUSTEE OF THE MICHAEL D. WALTERS TRUST U/A DTD 3/13/1996 | 2580592 |
Regulatory assets under management
| Total Number of Accounts | 1,750 |
| AUM (Assets Under Management) | $ 301,510,438 |
Disclosures
| Regulatory Event | 4 |
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
USA FINANCIAL SECURITIES LLC
CRD#: 103857Oakland, IA 51560TRUST BUT VERIFY
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