James Edward Miller

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/2015 → 05/2025
  Cetera Investment Services Llc
  St. Cloud, MN
• 08/2015 → 05/2025
  Cetera Investment Advisers Llc
  Wyomissing, PA
• 01/2012 → Present
  Utilities Employees Credit Union
  Wyomissing, PA
• 05/2025 → Present
  Lpl Financial Llc
  Wyomissing, PA

Previous Registrations

• 2015-08-18 → 2025-05-09
  Cetera Investment Advisers Llc
  Wyomissing, PA
  Reading, PA
• 2012-02-23 → 2015-08-17
  Swbc Investment Company
  San Antonio, TX
  Wyomissing, PA
• 2008-09-17 → 2012-01-24
  M&T Securities, Inc.
  Birdsboro, PA
  Birdsboro, PA
• 2007-03-27 → 2008-08-26
  Equitable Advisors, Llc
  Lancaster, PA

Other Businesses

1. 05/12/2025 - Utilities Employees Investment Services - Investment Related - DBA for LPL Business (entity for LPL business) - At reported business location(s) - Start Date:05/12/2025 - 160 Hours/Month - 40 Hours During Trading 2. 05/12/2025 - Utilities Employees Credit Union - Investment Related - Financial Institution Duty - At reported business location(s) - Start Date: 01/23/2012 - 25 Hours/Month - 1 Hours During Trading

Exams

• S66 Uniform Combined State Law Examination
  2007-02-15