Wanda Miller, financial advisor Troy NY
61 score

Wanda Miller

CRD 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.

Similar Advisors
Cullen Breen, CFP®, financial advisor Troy NY
Cullen Breen, CFP®
CRD# 5818590
Dutch Asset Corporation
Score
103
Similar Advisors
Howard Madlin, financial advisor Troy NY
Howard E. Madlin
CRD# 2905045
Cetera Investment Advisers LLC
Score
101
Similar Advisors
Cory Bonanno, financial advisor Troy NY
Cory C. Bonanno
CRD# 5532063
Cetera Advisor Networks LLC
Score
100
Professional Designations
Company Name Location Dates Years
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
Disclosure Information

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
Get Details on the FINRA Advisor Check site
Contact Info for Wanda R. Miller
Phone Number: 617-423-3644
Firm Website: http://www.lpl.com
Registered State(s):
  • NJ
By the Numbers
  • Total Assets Under Management
    112,086
    MILLIONS
  • Total Number of Accounts
    531,091
    ACCOUNTS
  • Average Account Value
    $211,049
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • 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
  • Other
Types of Clients
Registered States

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

Ready to hire a financial advisor? Get competitive proposals from multiple advisors.
BADGES
61

About Wealthminder

Wealthminder was created for one simple reason: To help people get the financial assistance they need to achieve their long-term financial goals.

Wealthminder is a database of every Investment Advisor Representative in the country. We work hard to collect and provide you the information you need to find a financial advisor who’s right for you.

If you are looking for a specific financial advisor and you can’t find them on Wealthminder, it’s likely that they are either exclusively a broker or are unlicensed - please contact us and we’ll try to help!

Finding a Financial Advisor through Wealthminder

Historically finding and hiring a financial advisor was hard. Wealthminder was built to make the process much easier.

The best way to use Wealthminder is to take advantage of our free proposal system. All you have to do is take a few minutes of your time to describe your situation and the assistance you are looking for.

Wealthminder then sends your request to our network of prescreened financial advisors. If a financial advisor is interested in your business, they will submit a proposal to you.

You review the proposals you receive and decide if you’d like to have a follow-up call with one or more of the financial advisors.

Throughout the process, you maintain control. We only share your contact information with a financial advisor once you ask for an introduction.