Kevin S. Miller

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CRD#: 712204

Professional summary

Kevin Scott Miller was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Kevin is a previously registered financial professional and started their career in finance in 1980. Prior to being barred, Kevin had worked at 8 firms, which includes THE OAK RIDGE FINANCIAL SERVICES GROUP INC., WATERFORD FINANCIAL INC., GLOBAL FINANCIAL GROUP INC., HAYNE MILLER FINANCIAL INC., HAYNE MILLER & SWEARINGEN INC., COLLIERS SECURITIES LLC, FIRST UNITED SECURITIES CORPORATION, ALSTEAD DEMPSEY & COMPANY INCORPORATED.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

June 21, 2001 - August 6, 2001

THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.

CRD#: 42941

GOLDEN VALLEY, MN

Past

December 21, 1994 - January 13, 1995

WATERFORD FINANCIAL, INC.

CRD#: 33828

MINNEAPOLIS, MN

Past

November 23, 1994 - June 22, 2001

GLOBAL FINANCIAL GROUP, INC.

CRD#: 23958

MINNEAPOLIS, MN

Past

September 18, 1989 - November 8, 1994

HAYNE, MILLER FINANCIAL, INC.

CRD#: 13849

MINNEAPOLIS, MN

Past

February 21, 1986 - September 18, 1989

HAYNE, MILLER & SWEARINGEN, INC.

CRD#: 14479

Past

July 8, 1982 - February 24, 1986

COLLIERS SECURITIES LLC

CRD#: 7477

Past

June 24, 1982 - July 7, 1982

FIRST UNITED SECURITIES CORPORATION

CRD#: 10286

Past

July 24, 1980 - July 6, 1982

ALSTEAD, DEMPSEY & COMPANY, INCORPORATED

CRD#: 4046

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".

THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.

EQUITY SECURITIES INVESTMENTS, INC. | THE SWANSON GROUP | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC. | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC | THE OAK RIDGE FINANCIAL SERVICES GROUP INC

CRD#: 42941 / SEC#: 801-80809, 8-50082

RIA

Registered Investment Advisory firm - SEC (1/15/2015 Approved)

Florida

Registered Investment Advisory firm - SEC (5/18/2015 Terminated)

Idaho

Registered Investment Advisory firm - SEC (12/31/2009 Terminated)

Illinois

Registered Investment Advisory firm - SEC (12/31/2009 Terminated)

Minnesota

Registered Investment Advisory firm - SEC (5/18/2015 Terminated)

Montana

Registered Investment Advisory firm - SEC (12/31/2012 Terminated)

Washington

Registered Investment Advisory firm - SEC (12/14/2009 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (3/31/2015 Terminated)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 7/21/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/19/1980

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/8/1993

General Securities Principal Examination

Principal/Supervisory Exam

Series 27

Date: 7/19/1986

Financial and Operations Principal Examination

Current Firm

THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.

EQUITY SECURITIES INVESTMENTS, INC. | THE SWANSON GROUP | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC. | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC | THE OAK RIDGE FINANCIAL SERVICES GROUP INC

CRD#: 42941 / SEC#: 801-80809, 8-50082

RIA

Registered Investment Advisory firm - SEC (1/15/2015 Approved)

Florida

Registered Investment Advisory firm - SEC (5/18/2015 Terminated)

Idaho

Registered Investment Advisory firm - SEC (12/31/2009 Terminated)

Illinois

Registered Investment Advisory firm - SEC (12/31/2009 Terminated)

Minnesota

Registered Investment Advisory firm - SEC (5/18/2015 Terminated)

Montana

Registered Investment Advisory firm - SEC (12/31/2012 Terminated)

Washington

Registered Investment Advisory firm - SEC (12/14/2009 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (3/31/2015 Terminated)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

701 Xenia Ave. South, Suite 100 Suite 100, Golden Valley, MN 55416-1089

Mailing Address

701 Xenia Ave. South, Suite 100, Golden Valley, MN 55416-1089

Phone number

(763) 923-2200

Established

Minnesota since 03/13/1997

Firm type

Corporation

Fiscal year end

September

Firm Size

Small

# of Employees

SEC notice filing (34 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

202409 THE OAK RIDGE FINANCIAL SERVICES BROCHURE (12/16/2024)

Direct owners and executive officers

Name	Position	CRD#
OAK RIDGE ACQUISITION CORPORATION	CORPORATE OWNER
COWAN, BRANDON JAMES	EVP, CCO	5404862
EKMAN, JOHN RICHARD	EXECUTIVE VICE PRESIDENT	1632217
KING, RUSSELL STUART	CHAIRMAN, CEO & DIRECTOR	1703706
RIP, OLGA	FINOP	5440553
RUMBLE, JULIE ANN MACY	VP, OPERATIONS MANAGER	2643309

Regulatory assets under management

Total Number of Accounts	1,501
AUM (Assets Under Management)	$ 456,416,227

Disclosures

Regulatory Event	8
Arbitration	2

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.

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Kevin S. Miller

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WATERFORD FINANCIAL, INC.

GLOBAL FINANCIAL GROUP, INC.

HAYNE, MILLER FINANCIAL, INC.

HAYNE, MILLER & SWEARINGEN, INC.

COLLIERS SECURITIES LLC

FIRST UNITED SECURITIES CORPORATION

ALSTEAD, DEMPSEY & COMPANY, INCORPORATED

Primary Firm SEC Registration

THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/21/1980

Series 7

Date: 7/19/1980

Series 24

Date: 3/8/1993

Series 27

Date: 7/19/1986

Current Firm

THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.

Contact information

SEC notice filing (34 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.

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