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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)18 years in industry

Spencer Schreiber Miller

Advisor at LPL ENTERPRISE, LLC

SHERMAN OAKS, CA | LOS ANGELES, CA

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Search this name across graphsid dfx:ria:71856537-35f9-00e4-ad92-cfb61a51963f

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:47 AM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 8
On other graphs: 0
Observed: Sep 4, 2009 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LPL ENTERPRISE, LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 28, 2007earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 12
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66
First exam: Dec 28, 2007
First registration: Sep 4, 2009
Dual registered: yes, broker-dealer
Other names: Spencer S. Miller
IAPD individual key: 4759628

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LPL ENTERPRISE, LLC	Bd affiliated wealth	Feb 18, 2026	n/a	yes	SHERMAN OAKS, CA\|LOS ANGELES, CA	Current employment
MML INVESTORS SERVICES, LLC	Bd affiliated wealth	Jan 13, 2026	Feb 12, 2026	no	Los Angeles, CA\|LOS ANGELES, CA	Previous registration
EQUITABLE ADVISORS, LLC	National bd RIA	Oct 31, 2025	Dec 2, 2025	no	LOS ANGELES, CA	Previous registration
ESI FINANCIAL ADVISORS	Independent wealth	Jun 5, 2025	Aug 18, 2025	no	LOS ANGELES, CA\|TIMONIUM, MD	Previous registration
SECURE INVESTMENT MANAGEMENT, LLC	Independent wealth	Nov 21, 2024	Apr 14, 2025	no	TUCSON, AZ\|Van Nuys, CA	Previous registration
AVINCI WEALTH MANAGEMENT, INC.	State registered	Jan 3, 2024	Oct 30, 2024	no	VALENCIA, CA	Previous registration
FINANCIAL & TAX ARCHITECTS, LLC	Independent wealth	Jul 31, 2023	Apr 10, 2024	no	SANTA CLARITA, CA\|ST. LOUIS, MO	Previous registration
ALLSTATE FINANCIAL ADVISORS, LLC	Bd affiliated wealth	Sep 8, 2022	Jul 5, 2023	no	Los Angeles, CA	Previous registration
COORDINATED WEALTH MANAGEMENT, LLC	n/a	May 28, 2015	Nov 25, 2015	no	GLENDALE, CA	Previous registration
WESTERN INTERNATIONAL SECURITIES	Former SEC adviser	Feb 4, 2013	Jul 25, 2022	no	Westlake Village, CA\|Pasadena, CA\|Pasadena, CA	Previous registration
NEW ENGLAND SECURITIES CORPORATION	Former SEC adviser	Mar 23, 2011	Feb 4, 2013	no	PASADENA, CA\|WOODLAND HILLS, CA	Previous registration
NMS CAPITAL ASSET MANAGEMENT, INC.	Former SEC adviser	Jun 2, 2010	Dec 17, 2010	no	BEVERLY HILLS, CA	Previous registration
NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	Former SEC adviser	Sep 4, 2009	Jan 6, 2010	no	WOODLAND HILLS, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MML INVESTORS SERVICES, LLC	LPL ENTERPRISE, LLC	Feb 12, 2026	Feb 18, 2026	6	Firm change	Ibd to ibd
EQUITABLE ADVISORS, LLC	MML INVESTORS SERVICES, LLC	Dec 2, 2025	Jan 13, 2026	42	Firm change	Ibd to ibd
ESI FINANCIAL ADVISORS	EQUITABLE ADVISORS, LLC	Aug 18, 2025	Oct 31, 2025	74	Firm change	RIA to ibd
SECURE INVESTMENT MANAGEMENT, LLC	ESI FINANCIAL ADVISORS	Apr 14, 2025	Jun 5, 2025	52	Firm change	RIA to RIA
AVINCI WEALTH MANAGEMENT, INC.	SECURE INVESTMENT MANAGEMENT, LLC	Oct 30, 2024	Nov 21, 2024	22	Firm change	Other
FINANCIAL & TAX ARCHITECTS, LLC	AVINCI WEALTH MANAGEMENT, INC.	Apr 10, 2024	Jan 3, 2024	-98	Firm change after gap	RIA to state RIA
ALLSTATE FINANCIAL ADVISORS, LLC	FINANCIAL & TAX ARCHITECTS, LLC	Jul 5, 2023	Jul 31, 2023	26	Firm change	Ibd to RIA
WESTERN INTERNATIONAL SECURITIES	COORDINATED WEALTH MANAGEMENT, LLC	Jul 25, 2022	May 28, 2015	-2,615	Firm change after gap	Other
COORDINATED WEALTH MANAGEMENT, LLC	ALLSTATE FINANCIAL ADVISORS, LLC	Nov 25, 2015	Sep 8, 2022	2,479	Firm change after gap	Other
NEW ENGLAND SECURITIES CORPORATION	WESTERN INTERNATIONAL SECURITIES	Feb 4, 2013	Feb 4, 2013	0	Firm change	Other
NMS CAPITAL ASSET MANAGEMENT, INC.	NEW ENGLAND SECURITIES CORPORATION	Dec 17, 2010	Mar 23, 2011	96	Firm change	Other
NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	NMS CAPITAL ASSET MANAGEMENT, INC.	Jan 6, 2010	Jun 2, 2010	147	Firm change	Other

Relationships

Registered with (13)

→ LPL ENTERPRISE, LLCRegistered adviserregistration: current employment
Feb 18, 2026 to presentfactForm ADV
→ MML INVESTORS SERVICES, LLCRegistered adviserregistration: previous registration
Jan 13, 2026 to Feb 12, 2026factForm ADV
→ EQUITABLE ADVISORS, LLCRegistered adviserregistration: previous registration
Oct 31, 2025 to Dec 2, 2025factForm ADV
→ ESI FINANCIAL ADVISORSRegistered adviserregistration: previous registration
Jun 5, 2025 to Aug 18, 2025factForm ADV
→ SECURE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Nov 21, 2024 to Apr 14, 2025factForm ADV
→ AVINCI WEALTH MANAGEMENT, INC.Registered adviserregistration: previous registration
Jan 3, 2024 to Oct 30, 2024factForm ADV
→ FINANCIAL & TAX ARCHITECTS, LLCRegistered adviserregistration: previous registration
Jul 31, 2023 to Apr 10, 2024factForm ADV
→ ALLSTATE FINANCIAL ADVISORS, LLCRegistered adviserregistration: previous registration
Sep 8, 2022 to Jul 5, 2023factForm ADV
→ WESTERN INTERNATIONAL SECURITIESRegistered adviserregistration: previous registration
Feb 4, 2013 to Jul 25, 2022factForm ADV
→ COORDINATED WEALTH MANAGEMENT, LLCRegistered adviserregistration: previous registration
May 28, 2015 to Nov 25, 2015factForm ADV
→ NEW ENGLAND SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Mar 23, 2011 to Feb 4, 2013factForm ADV
→ NMS CAPITAL ASSET MANAGEMENT, INC.Registered adviserregistration: previous registration
Jun 2, 2010 to Dec 17, 2010factForm ADV
→ NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)Registered adviserregistration: previous registration
Sep 4, 2009 to Jan 6, 2010factForm ADV

Dated events

Occurred
Feb 12, 2026
Advisor changed firm
Spencer Schreiber Miller left Mml Investors Services, Llc for Lpl Enterprise, Llc (registered 2026-02-18)
Form ADVobserved 6 days ago
Occurred
Dec 2, 2025
Advisor changed firm
Spencer Schreiber Miller left Equitable Advisors, Llc for Mml Investors Services, Llc (registered 2026-01-13)
Form ADVobserved 6 days ago
Occurred
Aug 18, 2025
Advisor changed firm
Spencer Schreiber Miller left Esi Financial Advisors for Equitable Advisors, Llc (registered 2025-10-31)
Form ADVobserved 6 days ago
Occurred
Apr 14, 2025
Advisor changed firm
Spencer Schreiber Miller left Secure Investment Management, Llc for Esi Financial Advisors (registered 2025-06-05)
Form ADVobserved 6 days ago
Occurred
Oct 30, 2024
Advisor changed firm
Spencer Schreiber Miller left Avinci Wealth Management, Inc. for Secure Investment Management, Llc (registered 2024-11-21)
Form ADVobserved 6 days ago
Occurred
Apr 10, 2024
Advisor changed firm
Spencer Schreiber Miller left Financial & Tax Architects, Llc for Avinci Wealth Management, Inc. (registered 2024-01-03)
Form ADVobserved 6 days ago
Occurred
Jul 5, 2023
Advisor changed firm
Spencer Schreiber Miller left Allstate Financial Advisors, Llc for Financial & Tax Architects, Llc (registered 2023-07-31)
Form ADVobserved 6 days ago
Occurred
Jul 25, 2022
Advisor changed firm
Spencer Schreiber Miller left Western International Securities for Coordinated Wealth Management, Llc (registered 2015-05-28)
Form ADVobserved 6 days ago