Mitchell R. Miller

HERMOSA CAPITAL MANAGEMENT

Hermosa Beach, CA

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CRD#: 4906396

Professional summary

Mitchell Robert Miller is a registered financial advisor currently at HERMOSA CAPITAL MANAGEMENT, LLC located in Hermosa Beach, California.

Mitchell is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Mitchell has worked at 7 firms and has passed the Series 63, Series 65, Series 99TO, 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.) HERMOSA CAPITAL MANAGEMENT,LLC,SINCE 10/13/06, HERMOSA BEACH CA, RIA, NOT ACTIVE, NO ACCOUNTS, NO BUSINESS. 2.)H3 HIGH SECURITY SOLUTIONS, LLC. FINANCIAL MANAGER (CFO). FIVE HOURS PER MONTH NOT DURING SECURITIES HOURS. 3.) Sutter Securities Incorporated, IR, SF, CA, VP of Operations, 20 hrs./mth

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mitchell Robert 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®

None

Experience

Current

February 26, 2007 - Present

HERMOSA CAPITAL MANAGEMENT, LLC

RIA

CRD#: 142382

Hermosa Beach, CA

Past

March 11, 2019 - April 28, 2023

SUTTER SECURITIES INCORPORATED

CRD#: 30770

Irvine, CA

Past

September 22, 2015 - April 28, 2023

BOUSTEAD SECURITIES, LLC

CRD#: 141391

IRVINE, CA

Past

November 30, 2011 - October 9, 2015

BMA SECURITIES, LLC

CRD#: 108219

EL SEGUNDO, CA

Past

August 12, 2010 - October 21, 2010

DEWAAY FINANCIAL NETWORK, LLC

CRD#: 30767

TORRANCE, CA

Past

February 6, 2009 - June 12, 2009

STRASBOURGER PEARSON TULCIN WOLFF INCORPORATED

CRD#: 5133

CULVER CITY, CA

Past

April 15, 2005 - December 31, 2006

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

HERMOSA BEACH, CA

Past

February 4, 2005 - December 31, 2006

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

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

California
(2/26/2007)

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

Series 63

Date: 2/22/2005

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 10/15/2003

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/3/2005

General Securities Representative Examination

Current Firm

HERMOSA CAPITAL MANAGEMENT, LLC

CRD#: 142382 / SEC#:

California

Registered Investment Advisory firm - (2/26/2007 Approved)

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Contact information

Main Address

Hermosa Beach, CA

Mailing Address

Phone number

(310) 341-4321

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Red Flags

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Mitchell R. Miller

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mitchell Robert Miller's CRS (Customer Relationship Summary).

Certified licenses

Experience

SUTTER SECURITIES INCORPORATED

BOUSTEAD SECURITIES, LLC

BMA SECURITIES, LLC

DEWAAY FINANCIAL NETWORK, LLC

STRASBOURGER PEARSON TULCIN WOLFF INCORPORATED

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 2/22/2005

Series 65

Date: 10/15/2003

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 2/3/2005

Current Firm

HERMOSA CAPITAL MANAGEMENT, LLC

Contact information

Documents

Red Flags

Company Information

HERMOSA CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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