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Alan J Miller

THE Leaders Group, Inc.

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About Alan J Miller

Alan Miller is a financial advisor who has been in the industry since 1989. He is currently registered with The Leaders Group, Inc. and has been with the firm since 2021. Alan has held previous positions with firms such as EF Legacy Securities, LLC, Lincoln Financial Distributors, Inc., Patrick Capital Markets, LLC, and Innovation Partners LLC. Alan holds several securities licenses, including Series 7, 63, 66, and SIE.

Firm Information

Alan Miller is currently registered with THE Leaders Group, Inc.. THE Leaders Group, Inc. is a Corporation registered in 52 states and the District of Columbia, with an approved SEC registration. Formed on July 14, 1994, the firm has a history of providing financial services.

Not reported

Assets Under Management

Not reported

Total Clients

854

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Alan Miller’s Registration & Firm History

CO

07/26/2024 - Present

THE Leaders Group, Inc. (LITTLETON CO)

KY

09/19/2022 - 04/18/2023

EF LEGACY SECURITIES, LLC (LOUISVILLE KY)

CO

09/07/2021 - 09/15/2022

THE LEADERS GROUP, INC. (LITTLETON CO)

PA

11/28/2018 - 10/23/2020

LINCOLN FINANCIAL DISTRIBUTORS, INC. (RADNOR PA)

TX

06/08/2016 - 12/21/2018

PATRICK CAPITAL MARKETS, LLC (HOUSTON TX)

NC

04/29/2016 - 06/21/2016

INNOVATION PARTNERS LLC (CHARLOTTE NC)

NY

12/11/2004 - 01/15/2016

METLIFE INVESTORS DISTRIBUTION COMPANY (NEW YORK CITY NY)

CA

01/15/2002 - 12/11/2004

METLIFE INVESTORS DISTRIBUTION COMPANY (NEWPORT BEACH CA)

MA

11/07/2001 - 01/11/2002

SUN LIFE OF CANADA (U.S.) DISTRIBUTORS, INC. (WELLESLEY HILLS MA)

NC

09/11/2000 - 10/05/2001

EQUITABLE DISTRIBUTORS, INC. (CHARLOTTE NC)

TX

06/27/2000 - 09/07/2000

STANFORD GROUP COMPANY (HOUSTON TX)

NC

03/31/1998 - 06/20/2000

EQUITABLE DISTRIBUTORS, INC. (CHARLOTTE NC)

CT

08/11/1997 - 02/05/1998

PILGRIM AMERICA SECURITIES, INC. (WINDSOR CT)

TX

05/23/1990 - 09/08/1997

H.D. VEST INVESTMENT SECURITIES, INC. (DALLAS TX)

WI

08/21/1986 - 01/25/1990

INVEST FINANCIAL CORPORATION (APPLETON WI)

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Licenses & Designations

BOTH

Issued 07/26/2000

Series 66 - Uniform Combined State Law Examination

BC

Issued 01/04/1994

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 6TO - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/16/1986

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Alan J Miller.
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