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Mariner Wealth’s Cara Miller Has Atlas Growth Partners Complaint
A recent investor complaint against Rapid City, South Dakota advisor Cara Miller (CRD# 4521819) include allegations regarding an investment in Atlas Growth Partners. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that she was most recently registered as a broker with ProEquities and that she is currently registered as an investment advisor with Mariner Wealth Advisors.
Ms. Miller’s BrokerCheck report discloses two investor complaints. The most recent, filed in July 2022, alleges that as a representative of Concourse Financial Group Securities, she recommended unsuitable investments in Atlas Growth Partners. The pending complaint alleges unspecified damages.
A second investor complaint, filed in 2020, alleged that as a representative of ProEquities Securities, she recommended an unsuitable oil and gas investment. The complaint reached a settlement of $22,500.
Ms. Miller is not the only representative of Mariner Wealth Advisors to receive investor complaints in recent years. Omaha-based advisor Jim Siemonsma, for instance, recently received a pending complaint alleging that an unsuitable Atlas Growth Partners recommendation led to unspecified damages. Jay Schechter, a representative based in Coral Gables, Florida, also received a pending complaint alleging that an unsuitable investment recommendation led to damages of $98,722.
According to records provided by the Financial Industry Regulatory Authority and the Securities and Exchange Commission, Cara Miller holds 19 years of securities industry experience. Based in Rapid City, South Dakota, she has been a representative of Mariner Wealth Advisors since 2021. Her registration history includes ProEquities (Rapid City, South Dakota; 2006-2020), Financial Network Investment Corporation (Rapid City, South Dakota; 2004-2006), and Edward Jones (St. Louis, Missouri; 2002-2004). Her credentials include the passage of four securities industry qualifying exams: the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; the Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Investment Adviser Law Examination, or Series 65. She is not currently licensed as a broker, though she is licensed as an investment advisor in Colorado and South Dakota. (Information current as of December 9, 2022.)
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