Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kenneth? Claim Your ProfileKenneth David Miller is a financial advisor with over 40 years of experience in the industry. Kenneth has held previous positions at UBS Financial Services Inc., Morgan Stanley Smith Barney, Morgan Stanley & Co. Incorporated, Morgan Stanley DW Inc. and Prudential-Bache Securities Inc. Kenneth currently works at Stifel, Nicolaus & Company, Inc. and is registered with both the BrokerCheck and Investment Advisor Public Disclosure (IAPD) systems. Kenneth is a Series 3, 7, and 63 licensed professional and holds the Series 65 license. Kenneth's areas of expertise include financial planning, pension consulting, portfolio management for individuals, businesses, and pooled investment vehicles, and selection of other advisors. Kenneth provides his services to a wide range of clients including individuals, corporations, and charitable organizations.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
04/20/2018 - Present
Stifel, Nicolaus & Company, Inc. (LADERA RANCH CA)
CA
10/31/2011 - 05/01/2018
UBS FINANCIAL SERVICES INC. (Ladera Ranch CA)
CA
06/01/2009 - 11/09/2011
MORGAN STANLEY SMITH BARNEY (LA QUINTA CA)
CA
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (LA QUINTA CA)
CA
11/24/1987 - 04/02/2007
MORGAN STANLEY DW INC. (LA QUINTA CA)
NY
01/27/1984 - 11/25/1987
PRUDENTIAL-BACHE SECURITIES INC. (NEW YORK NY)
NA
07/22/1983 - 11/25/1987
PRUDENTIAL-BACHE SECURITIES INC.
NA
01/28/1982 - 08/19/1983
DEAN WITTER REYNOLDS INC.
IA
Issued 04/07/2003
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/28/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/07/1989
Series 3 - National Commodity Futures Examination
BC
Issued 12/19/1981
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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