Kenper Miller: Options Complaint Against Morgan Stanley Advisor

Rochester, New York financial advisor Kenper Miller (CRD# 840784) recently received an investor complaint alleging that his conduct resulted in losses. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Morgan Stanley.

Mr. Miller’s BrokerCheck report discloses one investor complaint. Filed in November 2024, it alleges that as a representative of Morgan Stanley, he executed an unsuitable options trading strategy in the customer’s account. The pending complaint alleges unspecified damages.

Morgan Stanley’s website includes a profile of Mr. Miller in which he describes his approach and services, including wealth management, financial planning, lending products, estate planning, and long-term care insurance. “I can help you define and strive to meet your goals by delivering a vast array of resources to you in the way that is most appropriate for how you invest and what you want to achieve,” he explains. “Working together I can help you to preserve and grow your wealth. You will have access to some of the world’s most seasoned and respected investment professionals, a premier trading and execution platform and a full spectrum of investment choices.”

According to the Financial Industry Regulatory Authority, Kenper Miller holds 47 years of securities industry experience. Based in Rochester, New York, he has been registered as a broker and an investment advisor with Morgan Stanley since 2009 and 2021, respectively. His past registrations include Citigroup Global Markets, Lehman Brothers, Merrill Lynch, Paine Webber, and LF Rothschild. His credentials include the passage of six securities industry qualifying exams: the Uniform Investment Adviser Law Examination, or Series 65; the Uniform Securities Agent State Law Examination, or Series 63; the Securities Industry Essentials Examination, or SIE; the Futures Managed Funds Examination, or Series 31; the Interest Rate Options Examination, or Series 5; and the General Securities Representative Examination, or Series 7. He holds 30 state licenses. (Information current as of November 17, 2024.)

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