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Kevin Joseph Miller
KEVIN JOSEPH MILLER
CRD#: 4133001
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SANCTUARY ADVISORS, LLCCRD#: 226606 N28W30642 RED FOX COURT
PEWAUKEE, WI 53072
PEWAUKEE, WI 53072
SANCTUARY SECURITIES, INC.CRD#: 205 PEWAUKEE, WI
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Disclosures
24
Years of Experience
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State Registrations
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Indiana 4/27/2023
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Wisconsin 10/23/2023
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Nebraska 4/27/2023
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Wisconsin 11/2/2023
SRO Registrations
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Registered with this firm since 11/2/2023
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| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 01/25/2021 - 04/19/2023 | OMAHA, NE | |
IA | 07/23/2003 - 08/17/2020 | LAVISTA, NE | |
B | 05/24/2000 - 08/17/2020 | LAVISTA, NE | |
IA | 02/25/2009 - 05/21/2012 | FOLSOM, CA | |
B | 02/19/2009 - 07/06/2010 | FOLSOM, CA |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.