KG
Katherine J. Glick Miller
CETERA INVESTMENT ADVISERS LLC
GOSHEN, IN 46528
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CRD#: 7194183
KG
Professional summary
Katherine Joy Glick Miller, who also goes by Katherine Joy Glick, Kathy Joy Glick, Kathy Joy Glick Miller, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Goshen, Indiana and CETERA WEALTH SERVICES, LLC located in Goshen, Indiana.
Katherine is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Katherine has worked at 3 firms and has passed the Series 66, Series 6TO, Series 7TO, SIE and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Katherine Joy Glick | Kathy Joy Glick | Kathy Joy Glick 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.
(dba) EVERENCE; Investment Related; 1110 N Main, Goshen, IN 46526; Financial and Insurance Services; A) Designated Principal/Retirement Administrator; Start Date 10/2019; 160 hours per month with all of those hours occurring during trading hours; As Designated Principal, I review trades and marketing materials, conduct supervisory visits, and communicate broker/dealer compliance rules and regulations to registered reps, advisers, and non-registered assistants (NRFs). B) VP Financial Services Operations; Start Date 07/2022; 140 hours per month with most hours per month occurring during trading hours; I direct operations for Everence fixed annuities, church pension plan and retirement services. C) Assistant Secretary; Start Date 10/2022; Serve in this role for the following Everence entities: Everence Association Inc, Everence Capital Management Inc, Everence Foundation Inc, Everence Foundation Unique Assets Inc, Everence Holdings Inc, Everence Insurance Company, Everence Real Estate Holdings Inc, Everence Services LLC, MMA Distribution Inc, Mennonite Church Buildings Inc. >> PRAXIS MUTUAL FUNDS; Investment Related; 1110 N Main, Goshen, IN 46526; Board Member; Vice President; Start Date 07/2022; 40 hours per month with those 40 hours occurring during trading hours; Operations liaison with transfer agent - my work as Praxis Vice President is part of my job as an Everence employee; all my compensation comes through Everence. >> POWER OF ATTORNEY (POA); Non-Investment Related; Goshen, IN; Other; Power of Attorney; Start Date 06/2015; No hours per month; I am Power of Attorney for my mother, father and two siblings.
CRS (Client Relationship Summary) - RIA
Click below to view Katherine Joy Glick 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
February 20, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1110 North Main Street, Goshen, IN 46528RIA
CRD#: 105644
GOSHEN, IN
Current
February 20, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1110 North Main Street, Goshen, IN 46528BD
CRD#: 13572
Goshen, IN
Past
October 5, 2020 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
Goshen, IN
Past
March 17, 2020 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
Goshen, IN
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
Alabama(2/20/2025)
RR
Alaska(2/20/2025)
RR
Arizona(2/20/2025)
RR
Arkansas(2/20/2025)
RR
California(2/20/2025)
RR
Colorado(2/20/2025)
RR
Connecticut(2/20/2025)
RR
Delaware(2/20/2025)
RR
District of Columbia(2/20/2025)
RR
Florida(2/20/2025)
RR
Georgia(2/20/2025)
RR
Hawaii(2/20/2025)
RR
Idaho(2/20/2025)
RR
Illinois(2/20/2025)
RR
Indiana(2/20/2025)
IAR
Indiana(2/20/2025)
RR
Iowa(2/20/2025)
RR
Kansas(2/20/2025)
RR
Kentucky(2/20/2025)
RR
Louisiana(2/20/2025)
RR
Maine(2/20/2025)
RR
Maryland(2/20/2025)
RR
Massachusetts(2/20/2025)
RR
Michigan(2/20/2025)
RR
Minnesota(2/20/2025)
RR
Mississippi(2/20/2025)
RR
Missouri(2/20/2025)
RR
Montana(2/20/2025)
RR
Nebraska(2/20/2025)
RR
Nevada(2/20/2025)
RR
New Hampshire(2/20/2025)
RR
New Jersey(2/20/2025)
RR
New Mexico(2/20/2025)
RR
New York(2/20/2025)
RR
North Carolina(2/20/2025)
RR
North Dakota(2/20/2025)
RR
Ohio(2/20/2025)
RR
Oklahoma(2/20/2025)
RR
Oregon(2/20/2025)
RR
Pennsylvania(2/20/2025)
RR
Rhode Island(2/20/2025)
RR
South Carolina(2/20/2025)
RR
South Dakota(2/20/2025)
RR
Tennessee(2/20/2025)
RR
Texas(2/20/2025)
IAR
Texas(4/1/2025)
RR
Utah(2/20/2025)
RR
Vermont(2/20/2025)
RR
Virginia(2/20/2025)
RR
Washington(2/20/2025)
RR
West Virginia(2/20/2025)
RR
Wisconsin(2/20/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 3/17/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory 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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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Goshen, IN 46528TRUST BUT VERIFY
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