Judy Miller

Compliance Operations

(650) 445-0466 | [email protected]

Judy joined Mariner Advisor Network in July 2010 as an Compliance Operations within the Compliance Team. In this role, Judy works directly with advisors to ensure their offices maintain compliant files. She is also responsible for ensuring that our branch retains the necessary documents to support our advisors and their administrative assistants.

Judy began her career in the financial services industry in the early 1990s as an inside wholesaler with McNeil Securities, a San Mateo–based Limited Partnership firm. She then transitioned into the role of financial advisor for Bank of America Investment Services, spending 15 years as an advisor in various Bank of America branches along the San Francisco Peninsula. Most recently, Judy worked in an administration and support role for an LPL Financial advisor and as a registered sales assistant at JP Morgan Chase.

Judy is a native San Franciscan and grew up in the Bay Area. She currently resides in Redwood Shores. She is active in the San Carlos Kiwanis Club and PTA, where she performs in annual fundraising productions.


Professional Qualifications

  • FINRA Series 6: Investment Company and Variable Contracts Products Representative Qualification Examination
  • FINRA Series 7: General Securities Representative Examination
  • FINRA Series 65: NASAA Investment Advisors Law Examination
  • Licensed to sell Life and Disability insurance in the state of California.