Clinton D. Miller
KESTRA ADVISORY SERVICES
Canton, OH 44703
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CRD#: 6281534
Professional summary
Clinton David Helmuth Miller, CFP®, who also goes by Clinton David Miller, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Canton, Ohio and KESTRA INVESTMENT SERVICES, LLC located in Canton, Ohio.
Clinton is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Clinton has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Clinton David 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.
Business Name: Pleasant Wealth LLC Investment Related: Yes Address: 720 McKinley Ave NW Canton OH 44703 Nature of Business: Registered Field Assistant Position, Title or Relationship: Practice Manager Start Date: 7/25/2019 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 81% - 90% (113 - 126 hours) Duties: Customer service, trading, cash management, bookkeepingBusiness Name: Business Underwriter' Associates Investment Related: Yes Address: 3600 Embassy Pkwy Akron OH 44333 Nature of Business: Insurance Position, Title or Relationship: I'm an insurance agent Start Date: 1/1/2014 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: I help clients select and apply for life insurance through the insurance brokerage KESTRA ADVISORY SERVICES LLC POSITION: Investment Advisory Representative NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 120 START DATE: 07/26/2019 ADDRESS: 5707 Southwest Parkway, Building 2, Suite 400, Austin TX 78735, United States DESCRIPTION: Advise clients on portfolio selection, discretion over investment positions in some managed accounts.
CRS (Client Relationship Summary) - RIA
Click below to view Clinton David Helmuth 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®
CFP®
Start date: 2021
Experience
Current
July 25, 2019 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 720 Mckinley Ave Nw, Canton, OH 44703RIA
CRD#: 283330
Canton, OH
Current
July 25, 2019 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 720 Mckinley Avenue Nw, Canton, OH 44703Office #2: 4581 Township Rd 634, Millersburg, OH 44654BD
CRD#: 42046
Canton, OH
Past
June 10, 2015 - July 25, 2019
ON INVESTMENT MANAGEMENT CO
RIA
CRD#: 105662
BERLIN, OH
Past
June 24, 2014 - July 29, 2019
HUMMEL WEALTH MANAGEMENT, LLC
RIA
CRD#: 143523
BERLIN, OH
Past
February 3, 2014 - July 25, 2019
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
BERLIN, OH
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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)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
RR
Florida(9/19/2024)
RR
Illinois(2/26/2025)
RR
Indiana(11/11/2021)
RR
Iowa(7/25/2019)
RR
Kansas(10/28/2021)
RR
Kentucky(2/26/2025)
RR
Ohio(7/25/2019)
IAR
Ohio(7/25/2019)
RR
Virginia(7/25/2019)
RR
Wisconsin(8/6/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
