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Detailed Report
Julianne Rose Miller
Julie Rose Miller, Julianne Therese Rose
CRD#: 6272420
IA
Investment Adviser
B
Broker
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCCRD#: 2881 140 Whittington Pkwy
LOUISVILLE, KY 40222
Registration History
2021202220232024202520262 FIRMS2024 - Present (1 year)BKESTRA INVESTMENT SERVICES, LLC (CRD# 42046)2021 - 2024 (2 years)IAKESTRA ADVISORY SERVICES, LLC (CRD# 283330)2022 - 2024 (2 years)
License(s)

State Registrations

B
Alabama 6/21/2024
B
Kentucky 3/5/2024
B
Alaska 8/7/2024
IA
Kentucky 3/5/2024
B
California 6/21/2024
B
Michigan 4/30/2024
B
Colorado 10/16/2024
B
New York 1/22/2025
B
Indiana 10/16/2024
B
Ohio 6/22/2024

SRO Registrations

B
 FINRA

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
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC (CRD#:2881)
140 Whittington Pkwy, LOUISVILLE, KY 40222
Registered with this firm since 3/5/2024
B
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881)
140 Whittington Pkwy, LOUISVILLE, KY 40222
Registered with this firm since 3/5/2024
Previous Registration(s)
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IA
 01/26/2022 - 02/02/2024 KESTRA ADVISORY SERVICES, LLC (CRD#:283330) LOUISVILLE, KY
B
 11/16/2021 - 02/02/2024 KESTRA INVESTMENT SERVICES, LLC (CRD#:42046) Louisville, KY
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.