LM
Leslie D. Miller
NATIONS FINANCIAL GROUP
Cedar Rapids, IA 52411
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CRD#: 5305302
LM
Professional summary
Leslie Daniel Miller, who also goes by Les Miller, is a registered financial advisor currently at NATIONS FINANCIAL GROUP, INC. located in Cedar Rapids, Iowa.
Leslie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Leslie has worked at 1 firm and has passed the Series 66, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Les 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.
DMW FARM PARTNERSHIP. 6508 GIBSON DRIVE NE, CEDAR RAPIDS, IA 52411. NOT INVESTMENT RELATED. NATURE OF BUSINESS IS FARMING. POSITION IS PARTNER. STARTED 8-1-10. APPROX 1 HR/MONTH ON BUSINESS, NONE DURING SECURITY TRADING HRS. DUTIES ARE TO ASSIST IN DECISION MAKING // AG BUILDING RENTAL. 6508 GIBSON DR NE. CEDAR RAPIDS, IA 52411. NOT INVESTMENT RELATED. NATURE OF BUSINESS IS REAL ESTATE RENTAL. POSITION IS OWNER. STARTED 8-1-03. SPEND APPROX. 1 HR/MONTH ON BUSINESS, NONE DURING SECURITY TRADING HRS. DUTIES ARE PROPERTY MANAGEMENT// TRAVORIUM TRAVEL. 6508 GIBSON DR. NE CEDAR RAPIDS, IA 52411. NOT INVESTMENT RELATED. NATURE OF BUSINESS IS TRAVEL CLUB. POSITION IS MEMBER. STARTED 6/1/2024. APPROX 0 HRS SPENT ON BUSINESS WITH 0 DURING SECURITY TRADING HRS. NO DUTIES.
CRS (Client Relationship Summary) - RIA
Click below to view Leslie Daniel Miller's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Leslie Daniel 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®
NoneExperience
Current
April 14, 2020 - Present
NATIONS FINANCIAL GROUP, INC.
Office #1: 3925 Fountains Blvd Ne Suite 200, Cedar Rapids, IA 52411RIA
BD
CRD#: 44181
Cedar Rapids, IA
Current
April 23, 2020 - Present
NATIONS FINANCIAL GROUP, INC.
Office #1: 3925 Fountains Blvd Ne Suite 200, Cedar Rapids, IA 52411RIA
BD
CRD#: 44181
Cedar Rapids, IA
Past
January 5, 2012 - December 21, 2018
NATIONS FINANCIAL GROUP, INC.
RIA
CRD#: 44181
CEDAR RAPIDS, IA
Past
April 12, 2011 - December 21, 2018
NATIONS FINANCIAL GROUP, INC.
BD
CRD#: 44181
CEDAR RAPIDS, 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".
NF
NATIONS FINANCIAL GROUP, INC.
FRONTIER INVESTMENT SERVICES | NATIONS FINANCIAL GROUP, INC. | NATIONAL BROKERAGE SERVICES, INC.
CRD#: 44181 / SEC#: 801-57407, 8-50588
RIA
Registered Investment Advisory firm - SEC (5/3/2000 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City 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
IAR
Iowa(4/14/2020)
RR
Iowa(4/23/2020)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
NF
NATIONS FINANCIAL GROUP, INC.
FRONTIER INVESTMENT SERVICES | NATIONS FINANCIAL GROUP, INC. | NATIONAL BROKERAGE SERVICES, INC.
CRD#: 44181 / SEC#: 801-57407, 8-50588
RIA
Registered Investment Advisory firm - SEC (5/3/2000 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
3925 Fountains Blvd Ne Suite 200, Cedar Rapids, IA 52411
Mailing Address
3925 Fountains Blvd Ne Suite 200, Cedar Rapids, IA 52411
Phone number
(319) 393-9541
Established
Iowa since 11/14/1997
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
87
SEC notice filing (44 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 9,822 |
| AUM (Assets Under Management) | $ 3,867,522,560 |
Disclosures
| Arbitration | 1 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/26/2025 | ||
| 09/26/2024 | ||
| 11/22/2023 | ||
| 12/28/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
NATIONS FINANCIAL GROUP, INC.
CRD#: 44181Cedar Rapids, IA 52411TRUST BUT VERIFY
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