Francis Bernard Miller Jr | Financial Professional | Chesterfield, Virginia | PKS ADVISORY SERVICES, LLC

Professional summary

Francis Bernard Miller Jr, who also goes by Francis B Miller, Francis Bernard Miller Jr, Francis Miller, Frank B Miller Jr, Frank B Miller, Frank Miller, Francis Bernard Miller, is a registered financial advisor currently at PKS ADVISORY SERVICES, LLC located in Chesterfield, Virginia and PURSHE KAPLAN STERLING INVESTMENTS located in Chesterfield, Virginia.

Francis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Francis has worked at 13 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 6, Series 10, Series 9, Series 4, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Francis Bernard Miller Jr'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

July 10, 2023 - Present

PKS ADVISORY SERVICES, LLC

RIA

CRD#: 125648

Chesterfield, VA

Current

November 8, 2022 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 10000 Boschen Woods Place, Chesterfield, VA 23838

BD

CRD#: 35747

Chesterfield, VA

Past

August 11, 2017 - August 31, 2022

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

ALLENTOWN, PA

Past

August 11, 2017 - August 31, 2022

WELLS FARGO CLEARING SERVICES, LLC

BD

CRD#: 19616

ALLENTOWN, PA

Past

February 1, 2016 - August 4, 2017

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

BALA CYNWYD, PA

Past

January 11, 2016 - August 4, 2017

MML INVESTORS SERVICES, LLC

BD

CRD#: 10409

BALA CYNWYD, PA

Past

February 20, 2014 - June 17, 2014

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

BALA CYNWYD, PA

Past

February 20, 2014 - June 17, 2014

EQUITABLE ADVISORS, LLC

BD

CRD#: 6627

BALA CYNWYD, PA

Past

October 11, 2013 - February 10, 2014

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

ALLENTOWN, PA

Past

October 11, 2013 - February 10, 2014

WELLS FARGO CLEARING SERVICES, LLC

BD

CRD#: 19616

ALLENTOWN, PA

Past

September 30, 2011 - August 8, 2013

PRUCO SECURITIES, LLC.

BD

CRD#: 5685

ISELIN, NJ

Past

April 23, 2008 - October 5, 2011

WALNUT STREET SECURITIES, INC.

RIA

CRD#: 15840

SOMERSET, NJ

Past

April 23, 2008 - October 5, 2011

TOWER SQUARE SECURITIES, INC.

RIA

CRD#: 833

SOMERSET, NJ

Past

April 23, 2008 - October 5, 2011

NEW ENGLAND SECURITIES

RIA

CRD#: 615

SOMERSET, NJ

Past

April 23, 2008 - October 5, 2011

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

SOMERSET, NJ

Past

March 4, 2008 - October 5, 2011

WALNUT STREET SECURITIES, INC.

BD

CRD#: 15840

SOMERSET, NJ

Past

March 4, 2008 - October 5, 2011

TOWER SQUARE SECURITIES, INC.

BD

CRD#: 833

SOMERSET, NJ

Past

March 4, 2008 - October 5, 2011

NEW ENGLAND SECURITIES

BD

CRD#: 615

SOMERSET, NJ

Past

March 4, 2008 - October 5, 2011

MSI FINANCIAL SERVICES, INC.

BD

CRD#: 14251

SOMERSET, NJ

Past

May 21, 2007 - November 9, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

CEDAR GROVE, NJ

Past

May 21, 2007 - November 9, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

BD

CRD#: 6363

CEDAR GROVE, NJ

Past

March 7, 2006 - July 21, 2006

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

BRANCHBURG, NJ

Past

February 3, 2006 - July 21, 2006

PNC WEALTH MANAGEMENT LLC

BD

CRD#: 129052

BRANCHBURG, NJ

Past

May 30, 2005 - November 22, 2005

NYLIFE SECURITIES LLC

BD

CRD#: 5167

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".

PA

PKS ADVISORY SERVICES, LLC

CRD#: 125648 / SEC#: 801-62147

RIA

Registered Investment Advisory firm - (6/20/2003 Approved)

New York

Registered Investment Advisory firm - (6/20/2003 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.

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

New York
(11/20/2022)

RR

Virginia
(11/17/2022)

IAR

Virginia
(7/10/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/6/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

Series 63

Date: 6/23/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

RR

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 7

Date: 5/29/2007

General Securities Representative Examination

General Industry/Product Exam

RR

Series 6

Date: 5/27/2005

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

RR

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

RR

Series 9

Date: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

RR

Series 4

Date: 11/23/2009

Registered Options Principal Examination

Principal/Supervisory Exam

RR

Series 53

Date: 4/20/2009

Municipal Securities Principal Examination

Principal/Supervisory Exam

RR

Series 24

Date: 10/27/2008

General Securities Principal Examination

SRO Registrations

RR

FINRA

Current Firm

PA

PKS ADVISORY SERVICES, LLC

CRD#: 125648 / SEC#: 801-62147

RIA

Registered Investment Advisory firm - (6/20/2003 Approved)

New York

Registered Investment Advisory firm - (6/20/2003 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).

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Contact information

Main Address

80 State Street, Albany, NY 12207

Mailing Address

Phone number

(518) 426-5791

Established

Firm type

Fiscal year end

# of Employees

49

SEC notice filing (36 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE (3/26/2025)

Regulatory assets under management

Total Number of Accounts	4,419
AUM (Assets Under Management)	$ 905,367,391

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

Francis B. Miller

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Francis Bernard Miller Jr's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

PRUCO SECURITIES, LLC.

WALNUT STREET SECURITIES, INC.

TOWER SQUARE SECURITIES, INC.

NEW ENGLAND SECURITIES

MSI FINANCIAL SERVICES, INC.

WALNUT STREET SECURITIES, INC.

TOWER SQUARE SECURITIES, INC.

NEW ENGLAND SECURITIES

MSI FINANCIAL SERVICES, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

NYLIFE SECURITIES LLC

Primary Firm SEC Registration

PKS ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/6/2006

Series 63

Date: 6/23/2005

Series 52TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 5/29/2007

Series 6

Date: 5/27/2005

Series 10

Date: 1/2/2023

Series 9

Date: 1/2/2023

Series 4

Date: 11/23/2009

Series 53

Date: 4/20/2009

Series 24

Date: 10/27/2008

FINRA

Current Firm

PKS ADVISORY SERVICES, LLC

Contact information

SEC notice filing (36 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PKS ADVISORY SERVICES, LLC

TRUST BUT VERIFY

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