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Detailed Report
Nathaniel James Miller
Nate James Miller, Nathan Miller
CRD#: 6222628
IA
Investment Adviser
B
Broker
SCHWAB WEALTH ADVISORY, INC.CRD#: 159035 9800 Schwab Way
Lone Tree, CO 80124
CHARLES SCHWAB & CO., INC.CRD#: 5393 9800 Schwab Way
Lone Tree, CO 80124
Registration History
20132014201520162017201820192020202120222023202420252026IASCHWAB WEALTH ADVISORY, INC. (CRD# 159035)2024 - Present (<1 year)BCHARLES SCHWAB & CO., INC. (CRD# 5393)2019 - Present (5 years)BFIDELITY BROKERAGE SERVICES LLC (CRD# 7784)2013 - 2019 (5 years)IACHARLES SCHWAB & CO., INC. (CRD# 5393)2019 - 2024 (5 years)IAFIDELITY PERSONAL AND WORKPLAC... (CRD# 288590)2018 - 2019 (<1 year)IASTRATEGIC ADVISERS LLC (CRD# 104555)2018 - 2018 (<1 year)
License(s)

State Registrations

B
Alabama 8/5/2024
B
Nebraska 8/5/2024
B
Alaska 8/5/2024
B
Nevada 3/26/2024
B
Arizona 3/4/2020
B
New Hampshire 8/5/2024
B
Arkansas 8/5/2024
B
New Jersey 8/5/2024
B
California 7/26/2019
B
New Mexico 7/23/2021
B
Colorado 7/26/2019
B
New York 11/30/2020
IA
Colorado 8/5/2024
B
North Carolina 8/5/2024
B
Connecticut 3/4/2020
B
North Dakota 8/5/2024
B
Delaware 8/5/2024
B
Ohio 8/5/2024
B
District of Columbia 8/5/2024
B
Oklahoma 8/5/2024
B
Florida 8/7/2020
B
Oregon 11/30/2020
B
Georgia 8/5/2024
B
Pennsylvania 8/5/2024
B
Hawaii 8/5/2024
B
Puerto Rico 8/5/2024
B
Idaho 11/30/2020
B
Rhode Island 8/5/2024
B
Illinois 11/30/2020
B
South Carolina 8/5/2024
B
Indiana 6/5/2024
B
South Dakota 8/5/2024
B
Iowa 8/5/2024
B
Tennessee 8/5/2024
B
Kansas 3/23/2022
B
Texas 4/19/2021
B
Kentucky 8/5/2024
IA
Texas 10/1/2024
B
Louisiana 8/5/2024
B
Utah 9/8/2021
B
Maine 8/5/2024
B
Vermont 8/5/2024
B
Maryland 8/5/2024
B
Virgin Islands 8/5/2024
B
Massachusetts 3/4/2020
B
Virginia 4/19/2021
B
Michigan 10/20/2022
B
Washington 7/26/2019
B
Minnesota 8/5/2024
B
West Virginia 8/5/2024
B
Mississippi 8/5/2024
B
Wisconsin 8/5/2024
B
Missouri 8/5/2024
B
Wyoming 6/25/2024
B
Montana 5/28/2020

SRO Registrations

B
 FINRA
B
 Nasdaq Stock Market

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
SCHWAB WEALTH ADVISORY, INC. (CRD#:159035)
9800 Schwab Way, Lone Tree, CO 80124
Registered with this firm since 8/5/2024
B
CHARLES SCHWAB & CO., INC. (CRD#:5393)
9800 Schwab Way, Lone Tree, CO 80124
Registered with this firm since 7/26/2019
Previous Registration(s)
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IA
 07/26/2019 - 08/05/2024 CHARLES SCHWAB & CO., INC. (CRD#:5393) Lone Tree, CO
IA
 07/13/2018 - 06/24/2019 FIDELITY PERSONAL AND WORKPLACE ADVISORS (CRD#:288590) BOSTON, MA
B
 09/16/2013 - 06/19/2019 FIDELITY BROKERAGE SERVICES LLC (CRD#:7784) GREENWOOD VILLAGE, CO
IA
 05/25/2018 - 07/13/2018 STRATEGIC ADVISERS LLC (CRD#:104555) GREENWOOD VILLAGE, CO
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
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.
IA
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.