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Detailed Report
KENNETH CHARLES MILES
KEN MILES
CRD#: 812979
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Previous Investment Adviser
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Previous Broker
SUSPENDED
FINRA has suspended this individual from acting as a broker. Please see the detailed report for more information
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
1998200020022004200620082010201220142016IASTRATEGIC INCOME ADVISORS (CRD# 157843)2012 - 2014 (2 years)IAINDEPENDENT FINANCIAL GROUP, LLC (CRD# 7717)2008 - 2012 (3 years)IAKCM CAPITAL MANAGEMENT, INC. (CRD# 112404)1998 - 2009 (11 years)IAPRIVATE ASSET ADVISORS, INC. (CRD# 142322)2007 - 2008 (<1 year)IACENTAURUS FINANCIAL, INC. (CRD# 30833)2002 - 2004 (2 years)IASENTRA SECURITIES CORP (CRD# 10249)1998 - 2002 (3 years)
Disclosure(s)
View By:
9/14/2015
Regulatory
Final
2/19/2014
Customer Dispute
Award / Judgment
Previous Registration(s)
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 05/15/2012 - 05/19/2014 STRATEGIC INCOME ADVISORS (CRD#:157843) ESCONDIDO, CA
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 05/05/2008 - 03/21/2012 INDEPENDENT FINANCIAL GROUP, LLC (CRD#:7717) REDLANDS, CA
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 03/20/1998 - 12/31/2009 KCM CAPITAL MANAGEMENT, INC. (CRD#:112404) SAN BERNARDINO, CA
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 06/28/2007 - 05/01/2008 PRIVATE ASSET ADVISORS, INC. (CRD#:142322) SAN JUAN CAPISTRANO, CA
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 08/28/2002 - 12/07/2004 CENTAURUS FINANCIAL, INC. (CRD#:30833) SAN BERNARDINO, CA
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 11/30/1998 - 09/09/2002 SENTRA SECURITIES CORP (CRD#:10249) SAN BERNARDINO, 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
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.