EM
Erik Miller
CETERA INVESTMENT ADVISERS LLC
LEOLA, PA 17540
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CRD#: 7053924
EM
Professional summary
Erik Miller is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Leola, Pennsylvania and CETERA FINANCIAL SPECIALISTS LLC located in Leola, Pennsylvania.
Erik is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Erik has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1)NAME OF OTHER BUSINESS: SMOKER WEALTH MANAGEMENT, LLC; INVESTMENT RELATED: YES; ADDRESS: 49 E. MAIN STREET, LEOLA, PA 17540; NATURE OF BUSINESS: ADVISORY WEALTH MANAGEMENT; START DATE: 08/2019; POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR; APX NUMBER OF HOURS PER WEEK: 12; APX NUMBER OF HOURS DURING TRADING HOURS: 12; BRIEF DESCRIPTION OF DUTIES: WEALTH MANAGEMENT SERVICES; 2)NAME OF OTHER BUSINESS: SMOKER & COMPANY, LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: TAX ACCOUNTING FIRM; START DATE: 1/2021; POSITION/TITLE/RELATIONSHIP: MEMBER/CPA; APX NUMBER OF HOURS PER WEEK: 60; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES:TAX PREPARATION AND PLANNING SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view Erik 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
August 7, 2019 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 49 E. Main Street, Leola, PA 17540RIA
CRD#: 105644
LEOLA, PA
Current
June 25, 2019 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 49 E. Main Street, Leola, PA 17540Office #2: 662 Furnace Hills Pike, Lititz, PA 17543BD
CRD#: 10358
Leola, PA
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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
Pennsylvania(8/7/2019)
IAR
Pennsylvania(8/7/2019)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 6/25/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
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
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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Leola, PA 17540TRUST BUT VERIFY
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