Wanda MillerCRD Number: 1107307
Current Firm: Lpl Financial LLC
Wanda Miller (CRD# 1107307) is an Investment Advisor Representative working at Lpl Financial LLC in Troy, NY and has over 23 years of experience in the finance industry. Wanda 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.
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|First Niagara Bank||Latham, NY||Apr 2015 - Current||1|
|Lpl Financial LLC||Latham, NY||Apr 2015 - Current||1|
|Cuna Mutual Group||Waverly, IA||Jul 2012 - Apr 2015||2|
|Cuna Brokerage Services, Inc.||Waverly, IA||Jul 2012 - Apr 2015||2|
|Capital One Investment Services||Mel, NY||Aug 2011 - Jul 2012||< 1|
|Capital One Bank||New York, NY||Mar 2009 - Mar 2012||3|
|Bank Of America||New York, NY||Oct 2006 - Mar 2009||2|
|Wachovia Securities, LLC||Peekskill, NY||Jun 2003 - Sep 2006||3|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Sep 1993|
|S65||NASAA Investment Advisors Law Examination||May 1996|
|S66||NASAA Uniform Combined State Law Examination||Nov 2011|
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
- Customer Dispute
Total Assets Under Management112,086MILLIONS
Total Number of Accounts531,091ACCOUNTS
Average Account Value$211,049
- 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
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV
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