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JM

John Scott Miller

CRD# 5249363·Registered 2007 - 2012
Previously Registered: Being a previously registered professional could mean that John 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

John Scott Miller, who also goes by J. Scott Miller, John S Miller, Scott Miller, was a registered financial advisor. John was a previously registered financial professional and started their career in finance 2007 - 2012. John had worked at 2 firms and has passed the Series 66 and Series 7 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

J. Scott Miller, John S Miller, Scott Miller

Blog Corner

More Resources

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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

19 years in the financial services industry

Current & Past Employments

Past

KERCHEVILLE & COMPANY, INC.Past·CRD# 15871
BD
San Antonio, TX
October 27, 2010 - November 13, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDPast·CRD# 7691
RIA
San Antonio, TX
March 23, 2007 - October 26, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDPast·CRD# 7691
BD
San Antonio, TX
February 19, 2007 - October 26, 2010

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Current Firm

K&
KERCHEVILLE & COMPANY, INC.

ARNESON, KERCHEVILLE AND ASSOCIATES, INC. | KERCHEVILLE & COMPANY, INC. | ARNESON-KERCHEVILLE, INC.

CRD#: 15871 / SEC#: 8-32795
BD
Terminated by SEC on 02/17/2019

Contact Information

Established

Texas since 10/04/1984

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
KERCHEVILLE, JOE BEATYCEO/CHAIRMAN268275
HUDSPETH, SAUNDRA MICHELLECCO/MSP2358251
KERCHEVILLE, ANN SDIRECTOR1466382
WOLFF, KIMBERLY STUARTFINOP2727036

Disclosures

Regulatory Event

8

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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 66 — Uniform Combined State Law Examination

Passed Mar 2007About the Series 66 exam

Series 7 — General Securities Representative Examination

Passed Feb 2007About the Series 7 exam

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CRS (Client Relationship Summary)

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

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