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Joey Miller: Why Did Arete Wealth Fire New Braunfels Advisor?

New Braunfels, Texas financial advisor Joey Miller (CRD# 6175826) was terminated from his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is now a broker with DAI Securities and an investment advisor with DAI Wealth, as well as the owner of John Galt Wealth Solutions.

Mr. Miller’s BrokerCheck report discloses his termination from his former member firm. Filed in October 2023, it states that Arete Wealth Management fired him in connection with allegations he “was not forthcoming during an internal investigation” into unspecified conduct.

A second disclosure on his BrokerCheck report concerns an investor complaint against him. Filed in 2012, it alleged that as a representative of Traders Edge, he engaged in unspecified conduct that resulted in losses. In 2014 the complaint reached a settlement of $275,000.

Mr. Miller is a Partner at John Galt Wealth Management, according to the firm’s website. “Joey’s list of accomplishments are vast including published author, economics and investing keynote speaker, general partner on over 50 real estate assets, options trader and educator, fund manager and due diligence officer,” his profile states. “He can be found most of the time traveling to meet personally with his clients in over 40 states, on speaking engagements, and viewing prospective investments while on due diligence trips throughout the country. Joey’s strong fiscally conservative views drive his investment compass.”

According to the Financial Industry Regulatory Authority, Joey Miller holds 10 years of securities industry experience. Based in New Braunfels, Texas, he has been a broker with DAI Securities and an investment advisor with DAI Wealth since 2023. His past registrations include Arete Wealth (New Braunfels, Texas; 2014-2023) and ARI Financial Services (Overland Park, Kansas; 2013). His credentials include the passage of four securities industry qualifying exams: the Direct Participation Programs Representative Examination, or Series 22; 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. He holds 49 state licenses. (Information current as of November 13, 2023.)

Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.

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