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Joey Miller Terminated by Arete Wealth Management

Joey Miller (CRD #: 6175826) was fired by Arete Wealth Management prior to his registration with Dai Securities in New Braunfels, Texas. This disclosure appears on his BrokerCheck record, accessed on December 18, 2023. Details concerning the termination are provided below. 

On October 11, 2023, Arete Wealth Management fired Joey Miller following allegations that he had not been forthcoming during an internal investigation. 

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Failure to comply with an internal investigation may violate this rule. 

Previous Investor Dispute

There is an earlier investor dispute on his record that settled for $275,000. 

Background Information 

Joey Miller has passed the following exams: 

  • Series 65 Uniform Investment Adviser Law Examination 
  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 22 Direct Participation Program Representative Examination 

He is registered as both a broker and investment adviser in the following states: 

  • Alabama
  • Alaska
  • Arizona
  • California
  • Georgia
  • Idaho
  • Illinois
  • Iowa
  • Kansas
  • Minnesota
  • Mississippi
  • North Carolina
  • Ohio 
  • Oklahoma
  • South Carolina 
  • Texas 
  • Utah 
  • Virginia 
  • Washington 
  • Wisconsin

During his 10 years of experience, Joey Miller has registered with the following securities: 

  • Dai Securities (CRD #: 36673) 
  • Arete Wealth Advisors (CRD #: 145488)
  • Arete Wealth Management (CRD #: 44856) 
  • ARI Financial Services (CRD #: 137608) 

Kurta Law Can Help 

If you have worked with Joey Miller and you have concerns about your investments, do not hesitate to contact us at 877-600-0098 or for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.