MILLER KATHLEEN ANN appears across SEC filings — Form ADV advisers, Form D, Reg A, and crowdfunding offerings. MILLER KATHLEEN ANN appears on 18 filing roles across Form ADV (18).
| Filed | Source | Entity | Role | Location |
|---|---|---|---|---|
| — | Form ADV | GUGGENHEIM FUNDS INVESTMENT ADVISORS, LLC | CHIEF COMPLIANCE OFFICER | CHICAGO, IL |
| — | Form ADV | PORTFOLIO, LLC | CHIEF PORTFOLIO OFFICER | ALBUQUERQUE, NM |
| — | Form ADV | SECURITY INVESTORS, LLC | CHIEF COMPLIANCE OFFICER | NEW YORK, NY |
| — | Form ADV | GUGGENHEIM FUNDS DISTRIBUTORS, LLC | SENIOR MANAGING DIRECTOR | CHICAGO, IL |
| — | Form ADV | FINANCIAL SECURITY MANAGEMENT, INC | CHIEF COMPLIANCE OFFICER / VICE PRESIDENT | LAKEWOOD, CO |
| — | Form ADV | WELLESLEY ASSET MANAGEMENT, INC. | OWNER / SHAREHOLDER | PORTSMOUTH, NH |
| — | Form ADV | TED BUCHAN & COMPANY, LLC | DIRECTOR OF OPERATIONS | SAN DIEGO, CA |
| — | Form ADV | HILLCREST CREDIT AND INCOME FUND II MANAGER, LLC | CHIEF COMPLIANCE OFFICER, CO-CHIEF EXECUTIVE OFFICER AND MANAGING PARTNER | NEW YORK, NY |
| — | Form ADV | MILLER ADVISORS INC | CHIEF COMPLIANCE OFFICER | KIRKLAND, WA |
| — | Form ADV | MACQUARIE CAPITAL INVESTMENT MANAGEMENT LLC | CHIEF COMPLIANCE OFFICER | NY, NY |
| — | Form ADV | OAK RIVER FINANCIAL GROUP, INC. | CHIEF COMPLIANCE OFFICER | BEAUMONT, TX |
| — | Form ADV | SPOOR BEHRINS CAMPBELL & YOUNG SECURITIES CORP | SECRETARY/TREASURER | CLINTON, NJ |
| — | Form ADV | MARTIN CAPITAL MANAGEMENT, LLC | CHIEF COMPLIANCE OFFICER / CHIEF FINANCIAL OFFICER | ELKHART, IN |
| — | Form ADV | GALLEON MANAGEMENT, LP | CHIEF LEGAL OFFICER | NEW YORK, NY |
| — | Form ADV | SP PARTNERS | CHIEF COMPLIANCE OFFICER | CLINTON, NJ |
| — | Form ADV | HUMMINGBIRD PARTNERS, LLC | CHIEF FINANCIAL OFFICER | ELKHART, IN |
| — | Form ADV | CAPITOL PEAK PARTNERS, INC. | CCO/CFO | DENVER, CO |
| — | Form ADV | MILLER PRIVATE WEALTH LLC | CHIEF COMPLIANCE OFFICER/MANAGING MEMBER | OKLAHOMA CITY, OK |