Mark MillerCRD Number: 1342855
Current Firm: H. Beck, Inc.
Mark Miller (CRD# 1342855) is an Investment Advisor Representative working at H. Beck, Inc. in South Jordan, UT and has over 31 years of experience in the finance industry. Mark Miller has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
Uma Financial Services Inc.
Brighton Wealth Management, Inc.
|Altius Mortgage Group Lc - Mortgage Loan Brokerage||South Jordan, UT||Mar 2014 - Current||2|
|H. Beck, Inc.||Rockville, MD||Mar 2009 - Current||7|
|Envision Lending Group||South Jordan, UT||Dec 2007 - Feb 2009||1|
|Investment Management Corp||Bountiful, UT||Dec 2003 - Nov 2007||3|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Mar 1985|
|S65||NASAA Investment Advisors Law Examination||Apr 1995|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Employer Dispute
Total Assets Under Management1,825MILLIONS
Total Number of Accounts10,457ACCOUNTS
Average Account Value$174,531
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AL, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KY, LA, MA, MD, ME, MI, MN, MO, MT, NC, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV