Rodd R. Miller
GOLDEN STATE WEALTH MANAGEMENT
Gilbert, AZ
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CRD#: 4984062
Professional summary
Rodd Robert Miller, CFP® is a registered financial advisor currently at GOLDEN STATE WEALTH MANAGEMENT, LLC located in Gilbert, Arizona and LPL FINANCIAL LLC located in Gilbert, Arizona.
Rodd is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Rodd has worked at 8 firms and has passed the Series 66, SIE, Series 7 and Series 24 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. 11/17/2011: MILLER WEALTH MANAGEMENT - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - TIME SPENT 100% - CARLSBAD, CA. 2. 12/29/2011: MILLER VENTURES, INC. - Business Entity For Tax/Investment Purposes Only - Not Investment Related - 1% OF TIME SPENT - CARLSBAD, CA. 3. 07/03/2013 - EXCLUSIVE INSURANCE BROKERAGE - NON-VARIABLE INSURANCE - Investment Related - At Reported Business Location(s) - Time Spent 54% 4. 10/4/2017 - Golden State Wealth Management, LLC - DBA: Miller Wealth Management - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 09/14/2017 - 160 Hours Per Month During Securities Trading - I provide investment advisory services through Golden State Wealth Management, LLC, an independent investment advisor firm. I started this business activity in October 2017. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 5. 10/4/2017 - Golden State Wealth Management, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 09/14/2017 - 160 Hours Per Month During Securities Trading - I provide investment advisory services through Golden State Wealth Management, LLC, an independent investment advisor firm. I started this business activity in October 2017. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view Rodd 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®
CFP®
Start date: 2012
Experience
Current
September 13, 2017 - Present
GOLDEN STATE WEALTH MANAGEMENT, LLC
RIA
CRD#: 167995
Gilbert, AZ
Current
November 17, 2011 - Present
LPL FINANCIAL LLC
Office #1: 2162 E Williams Field Rd Suite 111, Gilbert, AZ 85295RIA
BD
CRD#: 6413
Gilbert, AZ
Past
March 6, 2015 - October 13, 2017
PFG ADVISORS
RIA
CRD#: 173344
CARLSBAD, CA
Past
November 17, 2011 - October 8, 2020
LPL FINANCIAL LLC
RIA
CRD#: 6413
CARLSBAD, CA
Past
September 9, 2011 - November 18, 2011
LUCIA SECURITIES, LLC
BD
CRD#: 37179
SCOTTSDALE, AZ
Past
April 13, 2010 - November 18, 2011
LUCIA CAPITAL GROUP
RIA
CRD#: 152396
SAN DIEGO, CA
Past
March 26, 2009 - October 19, 2010
RAYMOND J. LUCIA COMPANIES, INC.
RIA
CRD#: 115670
SAN DIEGO, CA
Past
February 25, 2009 - November 21, 2011
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
SAN DIEGO, CA
Past
October 16, 2008 - February 9, 2009
MILLER CAPITAL MARKETS, LLC
BD
CRD#: 136077
SCOTTSDALE, AZ
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".
GS
GOLDEN STATE WEALTH MANAGEMENT, LLC
ARIMATHEA | WESTLAKE INVESTMENT ADVISORS | SWITCHBACKS CAPITAL | STELLAR WEALTH ADVISORS | SOLARIS WEALTH MANGEMENT | ROHLING WEALTH MANAGEMENT | RENAISSANCE WEALTH MANAGEMENT | RASMUSSEN ADVISORS | PREMIER CAPITAL WEALTH MANAGEMENT | PRECISION CAPITAL MANAGEMENT | POINTWEALTH CAPITAL MANAGEMENT | PERCISION CAPITAL MANAGEMENT | PEEK WEALTH | OMEGA WEALTH MANAGEMENT | OGDEN WEALTH MANAGEMENT & PLANNING SERVICES | OGDEN WEALTH MANAGEMENT | OAKMONT FINANCIAL GROUP, LLC | MILLER WEALTH MANAGEMENT | MATZ WEALTH MANAGEMENT | LUNDQVIST WEALTH STRATEGIES | LAGUNA POINT WEALTH ADVISORS | ISAAC KIM WEALTH MANAGEMENT | IDEAL LIFE WEALTH MANAGEMENT, LLC | IDEAL LIFE WEALTH MANAGEMENT | HENARES, PREISLER & ASSOCIATES, INC. | GSWM | GSAM | GRANITE BAY WEALTH MANAGEMENT | GOLDEN STATE WEALTH MANAGEMENT, LLC | GOLDEN STATE EQUITY PARTNERS | GOLDEN STATE ASSET MANAGEMENT | GOLDEN STATE | FAGO WEALTH MANAGEMENT | ENVISION WEALTH STRATEGIES | CURT HOWARD WEALTH MANAGEMENT AND INSURANCE SOLUTIONS | CROSSROADS WEALTH ADVISORS | CORNERSTONE FINANCIAL | CONSOLIDATED FINANCIAL MANAGEMENT | COMPANION WEALTH MANAGEMENT | CHAMPLAIN WEALTH ADVISORS | BY THE SEA WEALTH MANAGEMENT | BUR OAK WEALTH MANAGEMENT | AURUM INVESTMENT MANAGEMENT
CRD#: 167995 / SEC#: 801-107445
RIA
Registered Investment Advisory firm - (3/21/2016 Approved)California
Registered Investment Advisory firm - (4/28/2016 Terminated)Washington
Registered Investment Advisory firm - (4/29/2016 Terminated)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
Alabama(1/9/2014)
RR
Arizona(11/17/2011)
IAR
Arizona(2/6/2024)
RR
California(11/17/2011)
IAR
California(9/13/2017)
RR
Colorado(8/4/2020)
RR
Connecticut(1/6/2020)
RR
Florida(8/13/2025)
RR
Idaho(4/23/2019)
RR
Indiana(5/22/2018)
RR
Montana(6/28/2016)
RR
Nevada(4/29/2025)
RR
South Carolina(8/18/2022)
RR
Tennessee(5/6/2025)
RR
Texas(11/17/2011)
RR
Utah(8/20/2020)
RR
Wyoming(10/18/2013)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
GS
GOLDEN STATE WEALTH MANAGEMENT, LLC
ARIMATHEA | WESTLAKE INVESTMENT ADVISORS | SWITCHBACKS CAPITAL | STELLAR WEALTH ADVISORS | SOLARIS WEALTH MANGEMENT | ROHLING WEALTH MANAGEMENT | RENAISSANCE WEALTH MANAGEMENT | RASMUSSEN ADVISORS | PREMIER CAPITAL WEALTH MANAGEMENT | PRECISION CAPITAL MANAGEMENT | POINTWEALTH CAPITAL MANAGEMENT | PERCISION CAPITAL MANAGEMENT | PEEK WEALTH | OMEGA WEALTH MANAGEMENT | OGDEN WEALTH MANAGEMENT & PLANNING SERVICES | OGDEN WEALTH MANAGEMENT | OAKMONT FINANCIAL GROUP, LLC | MILLER WEALTH MANAGEMENT | MATZ WEALTH MANAGEMENT | LUNDQVIST WEALTH STRATEGIES | LAGUNA POINT WEALTH ADVISORS | ISAAC KIM WEALTH MANAGEMENT | IDEAL LIFE WEALTH MANAGEMENT, LLC | IDEAL LIFE WEALTH MANAGEMENT | HENARES, PREISLER & ASSOCIATES, INC. | GSWM | GSAM | GRANITE BAY WEALTH MANAGEMENT | GOLDEN STATE WEALTH MANAGEMENT, LLC | GOLDEN STATE EQUITY PARTNERS | GOLDEN STATE ASSET MANAGEMENT | GOLDEN STATE | FAGO WEALTH MANAGEMENT | ENVISION WEALTH STRATEGIES | CURT HOWARD WEALTH MANAGEMENT AND INSURANCE SOLUTIONS | CROSSROADS WEALTH ADVISORS | CORNERSTONE FINANCIAL | CONSOLIDATED FINANCIAL MANAGEMENT | COMPANION WEALTH MANAGEMENT | CHAMPLAIN WEALTH ADVISORS | BY THE SEA WEALTH MANAGEMENT | BUR OAK WEALTH MANAGEMENT | AURUM INVESTMENT MANAGEMENT
CRD#: 167995 / SEC#: 801-107445
RIA
Registered Investment Advisory firm - (3/21/2016 Approved)California
Registered Investment Advisory firm - (4/28/2016 Terminated)Washington
Registered Investment Advisory firm - (4/29/2016 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
201 E. Sandpointe Avenue #460, South Coast Metro, CA 92707
Mailing Address
Phone number
(866) 273-1563
Established
Firm type
Fiscal year end
# of Employees
47
SEC notice filing (36 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,434 |
| AUM (Assets Under Management) | $ 1,835,285,996 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
