Jay M. 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.
Jay Mark Miller, who also goes by J Mark Miller, Mark Miller, was a registered financial advisor .
Jay is a previously registered financial advisor and started their career in finance in 1980. Jay had worked at 12 firms and has passed the Series 63, SIE, Series 5, Series 3 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
July 8, 2016 - September 15, 2022
AMERIPRISE FINANCIAL SERVICES, LLC
August 11, 2008 - July 11, 2016
B.B. GRAHAM & COMPANY, INC.
November 15, 2007 - August 12, 2008
NATIONS FINANCIAL GROUP, INC.
November 2, 2007 - August 12, 2008
NATIONS FINANCIAL GROUP, INC.
January 9, 2006 - November 1, 2007
FIRST MIDAMERICA INVESTMENT CORPORATION
January 9, 2006 - November 1, 2007
FIRST MIDAMERICA INVESTMENT CORPORATION
June 17, 1997 - January 11, 2006
WELLS FARGO CLEARING SERVICES, LLC
June 16, 1997 - January 11, 2006
WELLS FARGO CLEARING SERVICES, LLC
September 1, 1992 - June 6, 1997
CIBC WORLD MARKETS CORP.
August 26, 1985 - September 15, 1992
LEHMAN BROTHERS INC.
July 29, 1985 - August 16, 1985
SUNSTRAND SECURITIES CORPORATION, INC.
February 5, 1985 - June 13, 1985
RAUSCHER PIERCE REFSNES, INC.
March 21, 1983 - May 4, 1988
PRUDENTIAL EQUITY GROUP, LLC
September 16, 1982 - March 30, 1983
E. F. HUTTON & COMPANY INC
March 25, 1982 - August 18, 1982
CITIGROUP GLOBAL MARKETS INC.
October 24, 1980 - April 5, 1982
RAUSCHER PIERCE REFSNES, INC.
Primary Firm SEC Registration
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
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
Series 5
Date: 10/5/1981
Interest Rate Options ExaminationCurrent Firm
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING, LLC | SHAREHOLDER | |
| DOREN, MITCHELL DAVID | REGION VICE PRESIDENT (TEXAS DESIGNATED OFFICER) | 2129844 |
| FLEMING, JOSEPH DANIEL | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 2093776 |
| MATTOX, MICHAEL SCOTT | VICE PRESIDENT - CONTROLLER, INTERIM CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4383501 |
| O'CONNELL, PATRICK HUGH | DIRECTOR, EXECUTIVE VICE PRESIDENT-FIELD MANAGEMENT | 2246285 |
| SWEENEY, JOSEPH EDWARD | PRESIDENT, CHAIRMAN AND CHIEF EXECUTIVE OFFICER | 4668713 |
| WILLIAMS, WILLIAM JERRYL | EXECUTIVE VICE PRESIDENT- AMERIPRISE FINANCIAL GROUP & AMERIPRISE ADVISOR CENTER | 1954117 |
Regulatory assets under management
| Total Number of Accounts | 2,281,153 |
| AUM (Assets Under Management) | $ 564,622,896,919 |
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 103 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/19/2025 | ||
| 09/23/2024 | ||
| 10/24/2023 |
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.
