KM
Kaitlyn P. Miller
CITIZENS SECURITIES
Cranston, RI 02920
Some features on this profile are disabled
CRD#: 6639101
KM
Professional summary
Kaitlyn Patricia Miller, who also goes by Kaitlyn P Miller, Kaitlyn Patricia Miller, Kaitlyn Miller, Kait Miller, is a registered financial advisor currently at CITIZENS SECURITIES, INC. located in Cranston, Rhode Island.
Kaitlyn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Kaitlyn has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kaitlyn P Miller | Kaitlyn Patricia Miller | Kaitlyn Miller | Kait 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.
1) Kaitlyn Miller, Universal Wealth Management LLC, 945 Reservoir Avenue Cranston, RI 02910, Life and Health Insurance Independent Insurance Agent, Life and Health Medicare Broker/ Specialist. 5 investment related hours/ per week. 2) UNIVERSAL WEALTH MANAGEMENT POSITION: Registered Representative/ Life and Health Insurance Specialist NATURE: Universal Healthcare / UNIVERSAL WEALTH MANAGEMENT, LLC is set up as a business name for our agency at Royal Alliance. I will serve as a registered investment representative and assistant for UWM. All commissions and funds flow through UWM from Royal Alliance. NATURE: Sole Proprietorship, LLC, Financial, Investment, Retirement, and Insurance Agency INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 09/17/2021 ADDRESS: 945 Reservoir Avenue, Cranston RI 02910, United States DESCRIPTION: Registered Assistant Registered Investment Representative Life and Health Insurance Specialist 3) GCU WEALTH ADVISORS POSITION: Registered Assistant/ Registered Investment Representative NATURE: NATURE: UWM Has formed a Partnership with Greenwood Credit Union offering financial services, wealth management, life and health insurance agency of UWM provides GCU members with such services through GCU Wealth Advisors INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 80 START DATE: 09/17/2021 ADDRESS: 2669 Post Road, Warwick RI 02886, United States DESCRIPTION: Registered Assistant/ Registered Investment Representative
CRS (Client Relationship Summary) - RIA
Click below to view Kaitlyn Patricia Miller's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kaitlyn Patricia 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
June 3, 2025 - Present
CITIZENS SECURITIES, INC.
Office #1: 965 Oaklawn Ave, Cranston, RI 02920Office #2: 1 Citizens Bank Way, Johnston, RI 02919RIA
BD
CRD#: 39550
Cranston, RI
Current
June 2, 2025 - Present
CITIZENS SECURITIES, INC.
Office #1: 965 Oaklawn Ave, Cranston, RI 02920Office #2: 1 Citizens Bank Way, Johnston, RI 02919RIA
BD
CRD#: 39550
Cranston, RI
Past
February 6, 2023 - February 19, 2025
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
WESTWOOD, MA
Past
February 6, 2023 - February 19, 2025
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
WESTWOOD, MA
Past
July 18, 2022 - February 7, 2023
OSAIC WEALTH, INC.
RIA
CRD#: 23131
CRANSTON, RI
Past
September 18, 2021 - February 7, 2023
OSAIC WEALTH, INC.
BD
CRD#: 23131
CRANSTON, RI
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".
CS
CITIZENS SECURITIES, INC.
CCO INVESTMENT SERVICES CORP. | CITIZENS WEALTH MANAGEMENT | CITIZENS SECURITIES, INC. | CITIZENS PRIVATE WEALTH | CITIZENS PRIVATE CLIENT | CITIZENS INVESTMENT SERVICES CORP. | CITIZENS INVESTMENT SERVICES | CITIZENS INVESTMENT SECURITIES, INC. | CITIZENS FINANCIAL SERVICES INC. | CHARTER ONE INVESTMENT SERVICES
CRD#: 39550 / SEC#: 801-61902, 8-48744
RIA
Registered Investment Advisory firm - SEC (3/27/2003 Approved)Connecticut
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Florida
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Maine
Registered Investment Advisory firm - SEC (4/14/2003 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)New York
Registered Investment Advisory firm - SEC (3/31/2002 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (5/8/2003 Terminated)Vermont
Registered Investment Advisory firm - SEC (4/28/2003 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston 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
RR
Massachusetts(6/2/2025)
RR
Rhode Island(6/2/2025)
IAR
Rhode Island(6/3/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/17/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CS
CITIZENS SECURITIES, INC.
CCO INVESTMENT SERVICES CORP. | CITIZENS WEALTH MANAGEMENT | CITIZENS SECURITIES, INC. | CITIZENS PRIVATE WEALTH | CITIZENS PRIVATE CLIENT | CITIZENS INVESTMENT SERVICES CORP. | CITIZENS INVESTMENT SERVICES | CITIZENS INVESTMENT SECURITIES, INC. | CITIZENS FINANCIAL SERVICES INC. | CHARTER ONE INVESTMENT SERVICES
CRD#: 39550 / SEC#: 801-61902, 8-48744
RIA
Registered Investment Advisory firm - SEC (3/27/2003 Approved)Connecticut
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Florida
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Maine
Registered Investment Advisory firm - SEC (4/14/2003 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)New York
Registered Investment Advisory firm - SEC (3/31/2002 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (5/8/2003 Terminated)Vermont
Registered Investment Advisory firm - SEC (4/28/2003 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Citizens Bank Way Jcb135, Johnston, RI 02043
Mailing Address
200 Station Drive Mws414, Westwood, MA 02090
Phone number
(781) 364-1641
Established
Rhode Island since 09/21/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
418
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 53,044 |
| AUM (Assets Under Management) | $ 9,188,004,183 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 6 |
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.
