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Detailed Report
CARA MICHELLE MILLER
CARA M MILLER, CARA MICHELLE SMITH
CRD#: 4521819
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Investment Adviser
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Previous Broker
MARINER WEALTHCRD#: 140195 8871 Ridgeline Blvd.
Suite 100
Highlands Ranch, CO 80129
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2006 - 2020 (14 years)IAMARINER WEALTH (CRD# 140195)2021 - Present (3 years)BFINANCIAL NETWORK INVESTMENT C... (CRD# 13572)2004 - 2006 (1 year)BEDWARD JONES (CRD# 250)2002 - 2004 (2 years)IAMARINER WEALTH ADVISORS (CRD# 140195)2020 - 2020 (<1 year)
Disclosure(s)
View By:
8/19/2024
Customer Dispute
Pending
5/14/2024
Customer Dispute
Settled
3/28/2024
Customer Dispute
Settled
5/3/2023
Customer Dispute
Settled
7/18/2022
Customer Dispute
Settled
5/18/2020
Customer Dispute
Settled
License(s)

State Registrations

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Colorado 11/2/2021
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South Dakota 4/8/2024
Current Registration(s)
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MARINER WEALTH (CRD#:140195)
8871 Ridgeline Blvd. Suite 100, Highlands Ranch, CO 80129
Registered with this firm since 11/2/2021
Previous Registration(s)
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 09/08/2020 - 10/30/2020 MARINER WEALTH ADVISORS (CRD#:140195) RAPID CITY, SD
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 06/27/2006 - 09/22/2020 HONKAMP KRUEGER FINANCIAL SERVICES INC (CRD#:106237) RAPID CITY, SD
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 05/15/2006 - 09/11/2020 PROEQUITIES, INC. (CRD#:15708) RAPID CITY, SD
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 09/30/2004 - 05/11/2006 FINANCIAL NETWORK INVESTMENT CORPORATION (CRD#:13572) RAPID CITY, SD
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 07/03/2002 - 09/24/2004 EDWARD JONES (CRD#:250) ST. LOUIS, MO
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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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
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.