Mark D. Miller
Professional summary
Mark Daniel Miller, CFP®, who also goes by Mark D Miller, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Keller, Texas and CETERA WEALTH SERVICES, LLC located in Southlake, Texas.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Mark has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Mark Daniel Miller's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2016
Experience
August 10, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #2: 1560 E Southlake Blvd Ste 100, Southlake, TX 76092August 10, 2023 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1560 E Southlake Blvd Suite 100, Southlake, TX 76092February 24, 2010 - October 21, 2021
CRI SECURITIES, LLC
February 24, 2010 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
October 12, 2009 - October 21, 2021
CRI SECURITIES, LLC
October 12, 2009 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
FINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 |
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.
