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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MO | RA | APPROVED | 2018-11-13 |
Branch Locations
2305-A South Blackman Road Suite 300, Springfield, MO 65809 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Miller & Associates Cpas And Advisors | Springfield | MO | 06/2017 | Present |
| Miller & Associates Investment Services | Springfield | MO | 06/2017 | Present |
| Ernie Biggs Piano Bar | Springfield | MO | 01/2004 | 05/2017 |
| Cetera Financial Specialists Llc | Schaumburg | IL | 08/2017 | 10/2018 |
| Cetera Investment Advisers Llc | Schaumburg | IL | 11/2018 | Present |
| Cetera Financial Specialists Llc | Schaumburg | IL | 10/2018 | Present |
1)MILLER & ASSOCIATES INVESTMENT SERVICES, INVESTMENT RELATED, SAME ADDRESS AS REGISTERED LOCATION, DBA FOR INVESTMENT BUSINESS, START 6/2017, OFFER FIXED INSURANCE TO CLIENTS, 40H/WEEK. 2)MILLER & ASSOCIATES CPAS AND ADVISORS, LLC, NOT INVESTMENT RELATED, SAME ADDRESS AS REGISTERED LOCATION, ADMINISTRATIVE ASSISTANCE IN TAX/CPA FIRM WHICH PROVIDES ACCOUNTING/TAX SERVICE TO SMALL AND MID-SIZE BUSINESSES AND INDIVIDUALS, SINCE 6/2017, 40H/WEEK. 3) NAME OF OTHER BUSINESS: CART PATH ONLY LLC INVESTMENT RELATED: NO ADDRESS: SAME AS RESIDENTIAL LOCATION ; NATURE OF BUSINESS: INVESTMENT CLUB ; START DATE: 092020 ; POSITION/TITLE/RELATIONSHIP: TREASURER ; APX NUMBER OF HOURS PER WEEK: LESS THAN 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1 ; BRIEF DESCRIPTION OF DUTIES: KEEP THE BOOKS ;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-10-04 |
| S63 | Uniform Securities Agent State Law Examination | 2018-06-14 |
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