TM
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Theodore Miller
30 Years of Experience
San Francisco, CA
5 DisclosuresBroker
Theodore Miller is a registered investment advisor at Cetera Investment Advisers LLC, based in San Francisco, CA, with 30 years of industry experience. Theodore operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 584,487 clients with $160B in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10345 advisors
IM Fee
Planning only
Assets Under Management
$163.8B
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Location
San Francisco, CA
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Regulatory History (5)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
November 2007Settled
Customer Dispute
October 2005Denied
Customer Dispute
August 2003Denied
Customer Dispute
May 2000Award / Judgment
Customer Dispute
November 1999Denied
Employment History
Current Registrations
Cetera Investment Advisers LLC
March 2024 - Present · 2 yrs 2 mos
Cetera Advisors LLCBroker
April 2018 - Present · 8 yrs 1 mo
Previous Registrations
Cetera Advisors LLC
May 2018 - March 2024 · 5 yrs 10 mos
Wells Fargo Clearing Services, LLCBroker
January 2011 - May 2018 · 7 yrs 4 mos
Wells Fargo Clearing Services, LLC
January 2011 - May 2018 · 7 yrs 4 mos
Wells Fargo Investments, LLC
May 2001 - January 2011 · 9 yrs 8 mos
Wells Fargo Investments, LLCBroker
May 2001 - January 2011 · 9 yrs 8 mos
Wells Fargo Securities INC.Broker
July 1998 - May 2001 · 2 yrs 10 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
May 1997 - July 1998 · 1 yr 2 mos
Olde Discount CorporationBroker
August 1995 - June 1997 · 1 yr 10 mos
State Registrations3 states
CAMEOH
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.