Clayton A. Miller
Professional summary
Being a previously registered professional could mean that this person 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.
Clayton Allen Miller was a registered financial professional .
Clayton is a previously registered financial professional and started their career in finance in 2011. Clayton had worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 16, 2014 - September 15, 2015
CETERA INVESTMENT ADVISERS LLC
December 16, 2014 - September 15, 2015
CETERA INVESTMENT SERVICES LLC
August 15, 2014 - December 23, 2014
ASSETMARK BROKERAGE, LLC
June 6, 2014 - December 23, 2014
ASSETMARK, INC.
April 28, 2014 - August 15, 2014
CAPITAL BROKERAGE CORPORATION
January 9, 2013 - March 28, 2014
TAYLOR CAPITAL MANAGEMENT INC.
September 26, 2011 - February 16, 2012
SIGNATOR INVESTORS, INC.
February 11, 2011 - May 23, 2011
EDWARD JONES
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.
Visual representation of state registrations
Exams
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 | ||
| 11/18/2022 |
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.
