Maurice Miller
Maurice Miller is a registered investment advisor at LPL Enterprise, LLC, based in Louisville, KY, with 19 years of industry experience. Maurice operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Education Planning, Estate Planning, Investment Management, Retirement Planning, and 1 more. Their firm serves 86,726 clients with $19B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPLE provides access to investment management through third-party asset management programs (TAMPs) and LPL's Model Wealth Portfolios (MWP). For TAMPs, the fees are negotiated with the LPLE representative, typically up to 2% of the assets managed, but may be higher in certain circumstances. The TAMP sponsor also charges a fee. For MWP, clients are charged an annual account fee that includes an advisory fee (maximum 2.35% and is negotiable) and a manager fee (0% to 0.60%).
Location
9300 Shelbyville Road, Suite 900, Louisville, KY, 40222
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Maurice owns The Legacy Consulting Group LLC, established for previously published books, dedicating minimal time. He also owns The Miller's Wealth Management, LLC, a full-service DBA providing insurance and financial services, which takes nearly all of his time.
Employment History
Current Registrations
LPL Enterprise, LLCBroker
LPL Enterprise, LLC
Previous Registrations
Pruco Securities, LLC.Broker
Prudential Financial Planning Services
MML Investors Services, LLC
MML Investors Services, LLCBroker
Redwood Financial Network
LPL Financial LLCBroker
Citizens Securities, INC.
Citizens Securities, INC.Broker
PNC Investments
PNC InvestmentsBroker
Natcity Investments, INC.
Natcity Investments, INC.Broker
State Registrations15 states
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.