Keith I. 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.
Keith Ivan Miller, who also goes by Keith I Miller, was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 1978. Keith had worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 22, 2015 - July 10, 2019
LPL FINANCIAL LLC
April 20, 2015 - July 10, 2019
LPL FINANCIAL LLC
January 28, 2015 - April 22, 2015
CAPITAL ONE ADVISORS, LLC
January 2, 2015 - April 22, 2015
CAPITAL ONE INVESTING, LLC
February 15, 2013 - January 28, 2015
CAPITAL ONE FINANCIAL ADVISORS LLC
February 13, 2013 - January 2, 2015
CAPITAL ONE INVESTMENT SERVICES LLC
August 7, 2012 - February 8, 2013
HSBC SECURITIES (USA) INC.
June 27, 2012 - February 8, 2013
HSBC SECURITIES (USA) INC.
March 2, 2011 - June 13, 2012
NATIONWIDE SECURITIES, LLC
January 17, 2007 - February 18, 2011
NYLIFE SECURITIES LLC
April 29, 2003 - November 28, 2006
CADARET, GRANT & CO., INC.
April 2, 2001 - November 28, 2006
CADARET, GRANT & CO., INC.
June 15, 1993 - April 27, 2001
LPL FINANCIAL LLC
September 18, 1991 - June 7, 1993
OSAIC WEALTH, INC.
July 9, 1990 - September 16, 1991
MORGAN STANLEY DW INC.
July 3, 1989 - August 13, 1990
LEHMAN BROTHERS INC.
January 12, 1988 - July 18, 1989
PRUDENTIAL EQUITY GROUP, LLC
October 17, 1983 - August 13, 1990
LEHMAN BROTHERS INC.
April 23, 1982 - October 21, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 25, 1980 - May 7, 1982
PRUDENTIAL EQUITY GROUP, LLC
January 13, 1978 - July 27, 1980
FORESTERS FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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 1
Date: 1/6/1978
Registered Representative ExaminationCurrent Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| MORNINGSTAR, MATTHEW EDWIN | CHIEF LEGAL OFFICER | 2510742 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 214 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
