Cecilia R. Miles
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.
Cecilia Rose Miles, who also goes by Rose Miles, Cecilia Rose Siman, was a registered financial professional .
Cecilia is a previously registered financial professional and started their career in finance in 1978. Cecilia had worked at 11 firms and has passed the Series 63, SIE, Series 15, Series 5, Series 7 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
October 26, 2020 - February 28, 2025
CREATIVEONE WEALTH, LLC
July 31, 2009 - February 28, 2025
SORRENTO PACIFIC FINANCIAL, LLC
September 10, 2004 - November 5, 2020
PARTNERVEST ADVISORY SERVICES LLC
September 10, 2004 - July 31, 2009
PARTNERVEST SECURITIES, INC.
July 13, 2000 - September 10, 2004
FINANCIAL WEST GROUP
November 6, 1991 - September 10, 2004
FINANCIAL WEST GROUP
January 24, 1991 - November 7, 1991
CALIFORNIA ONE INVESTMENTS
May 18, 1990 - February 14, 1991
FIRST CALIFORNIA CAPITAL MARKETS GROUP, INC.
January 9, 1990 - March 20, 1990
FIRST IMPERIAL INVESTOR SERVICES, INC.
October 17, 1986 - August 1, 1988
DREXEL BURNHAM LAMBERT INCORPORATED
September 26, 1978 - October 30, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 1, 1978 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
Primary Firm SEC Registration
CREATIVEONE WEALTH, LLC
CRD#: 281213 / SEC#: 801-106677
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 15
Date: 6/5/1984
Foreign Currency Options ExaminationSeries 5
Date: 10/6/1981
Interest Rate Options ExaminationCurrent Firm
CREATIVEONE WEALTH, LLC
CRD#: 281213 / SEC#: 801-106677
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 29,437 |
| AUM (Assets Under Management) | $ 4,828,907,475 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
