Thomas 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:

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2021-07-21
CO	RA	APPROVED	2021-07-21
FL	RA	APPROVED	2021-07-21
ID	RA	APPROVED	2021-07-21
KY	RA	APPROVED	2021-07-21
MI	RA	APPROVED	2021-07-21
MO	RA	APPROVED	2021-07-21
NV	RA	APPROVED	2021-07-21
NH	RA	APPROVED	2021-07-21
NM	RA	APPROVED	2021-07-21
PA	RA	APPROVED	2021-07-21
SC	RA	APPROVED	2021-07-21
TX	RA	APPROVED_RES	2021-07-21
UT	RA	APPROVED	2021-07-21
VA	RA	APPROVED	2021-07-21
WA	RA	APPROVED	2021-07-21

CA RA
APPROVED

Since 2021-07-21
CO RA
APPROVED

Since 2021-07-21
FL RA
APPROVED

Since 2021-07-21
ID RA
APPROVED

Since 2021-07-21
KY RA
APPROVED

Since 2021-07-21
MI RA
APPROVED

Since 2021-07-21
MO RA
APPROVED

Since 2021-07-21
NV RA
APPROVED

Since 2021-07-21
NH RA
APPROVED

Since 2021-07-21
NM RA
APPROVED

Since 2021-07-21
PA RA
APPROVED

Since 2021-07-21
SC RA
APPROVED

Since 2021-07-21
TX RA
APPROVED_RES

Since 2021-07-21
UT RA
APPROVED

Since 2021-07-21
VA RA
APPROVED

Since 2021-07-21
WA RA
APPROVED

Since 2021-07-21

Branch Locations

123 Hodencamp Rd; Ste 204, Thousand Oaks, CA 91360 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Waddell & Reed, Inc.	Sherman Oaks	CA	12/1981	07/2021
Various Insurance Carriers For W&R Insurance Agencies	Moorpark	CA	02/1988	07/2021
John Miller	Thousand Oaks	CA	01/2018	07/2021
Miller Manocchio Inc	Thousand Oaks	CO	01/2018	07/2021
Lpl Financial Llc	Thousand Oaks	CA	07/2021	Present

12/1981 → 07/2021

Waddell & Reed, Inc.

Sherman Oaks, CA
02/1988 → 07/2021

Various Insurance Carriers For W&R Insurance Agencies

Moorpark, CA
01/2018 → 07/2021

John Miller

Thousand Oaks, CA
01/2018 → 07/2021

Miller Manocchio Inc

Thousand Oaks, CO
07/2021 → Present

Lpl Financial Llc

Thousand Oaks, CA

Previous Registrations

1997-07-08 → 2021-07-21

Waddell & Reed

Pasadena, CA

Simi Valley, CA

Las Vegas, NV

Thousand Oaks, CA

Truckee, CA

Other Businesses

1) 2018 - Business Entity For Tax/Investment Purposes Only - Miller Mannachio, Inc - Investment Related - 1 hr/mon - Thousand Oaks, CA 91360 2) 2021 - DBA for LPL Business (entity for LPL business) - Miller & Associates Financial Solutions - Investment Related - Thousand Oaks, CA 91360 3) 1/2007 - Act in a Fiduciary Capacity - The Miller Trust Dated January 13, 2007 - Investment Related - Moorpark, CA 93021 4) 09/26/2024 - Miller & Associates Generational Wealth Management - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 09/24/2024 - 0 Hours Per Month/ During Trading

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1990-01-15

S63 Uniform Securities Agent State Law Examination

1990-01-15

Designations

Certified Financial Planner

Other Names

Tom Miller

View on SEC IAPD