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SM

Seth D. Miller

REGIONAL INVESTMENT SERVICES
Windermere, FL 34786
Some features on this profile are disabled
CRD#: 5628646
SM

Professional summary

Seth David Miller is a registered financial professional currently at REGIONAL INVESTMENT SERVICES, INC. located in Windermere, Florida.

Seth is registered as a RR (Registered Representative) and started their career in finance in 2009. Seth has worked at 3 firms and has passed the SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Seth David Miller'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

October 16, 2024 - Present

REGIONAL INVESTMENT SERVICES, INC.

Office #1: 9100 Conroy Windermere Road Suite 200, Office 223, Windermere, FL 34786
BD
CRD#: 46929
Windermere, FL
Past

June 22, 2011 - February 15, 2012

WORLD GROUP SECURITIES, INC.

BD
CRD#: 114473
DULUTH, GA
Past

April 17, 2009 - August 22, 2023

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
ST PETERSBURG, FL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Florida
(10/16/2024)

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/16/2009
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/28/2009
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

RI
REGIONAL INVESTMENT SERVICES, INC.
REGIONAL INVESTMENT SERVICES, INC.

CRD#: 46929 / SEC#: , 8-51588

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
2101 Park Center Drive Suite 290, Orlando, FL 32835
Mailing Address
9100 Conroy Windermere Road Suite 200, Office 223, Windermere, FL 34786
Phone number
(407) 630-8725
Established
Ohio since 01/19/1999
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
LONGEVITY MARKET ADVISORS, LLCOWNER
MCCAULEY, WILLIAM HUGH JRCFO5267440
MCCAULEY, WILLIAM HUGH JRPRESIDENT5267440
MILNE, RALPH AAMLCO6034910
RAND, PAIGE WOODSUMCHIEF COMPLIANCE OFFICER4520907

Disclosures

Arbitration1

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.

Company Information

REGIONAL INVESTMENT SERVICES, INC.

CRD#: 46929Windermere, FL 34786

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