Unclaimed
Roland Kent Miles is a financial advisor with over 16 years of experience in the industry. Roland is currently registered with Morgan Stanley and has been with them since January of 2023. Prior to that, Roland was registered with E*TRADE SECURITIES LLC for over 14 years. Roland has Series 6, 7, 3, 34, and 66 licenses and has a broad range of experience in serving a variety of clients, including individuals, high net worth individuals, corporations, insurance companies, investment companies, charitable organizations, and state or municipal government entities. Roland provides investment advice, financial planning, and portfolio management services to clients.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
UT
01/26/2023 - Present
Morgan Stanley (Holladay UT)
UT
05/13/2009 - 09/05/2023
E*TRADE SECURITIES LLC (SANDY UT)
UT
01/01/2008 - 02/13/2009
FIDELITY BROKERAGE SERVICES LLC (SALT LAKE CITY UT)
UT
10/19/2007 - 01/01/2008
FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (SALT LAKE CITY UT)
UT
08/03/2006 - 08/02/2007
AMERICAN FAMILY SECURITIES, LLC (WASHINGTON UT)
BOTH
Issued 09/06/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/28/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/29/2013
Series 34 - Retail Off-Exchange FOREX Examination
BC
Issued 10/04/2011
Series 3 - National Commodity Futures Examination
BC
Issued 01/22/2009
Series 7 - General Securities Representative Examination
BC
Issued 08/02/2006
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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