Career
Alison Miller has been Chief Compliance Officer of F/M Investments since November 2024. Alison Miller is a control person of the firm and directly owns under 5% of it.
F/M Investments LLC is a Washington, DC firm with $17.7B under management, 5,780 clients and 46 advisers across 9 offices, as of its August 2026 filing.
F/m Investments lists Alison Miller as its Chief Compliance Officer and Deputy General Counsel.
No adviser firm registrations are on Alison Miller’s record.
Credentials and registrations
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 99TO | Operations Professional Examination | 17 April 2023 |
| SIE | Securities Industry Essentials Examination | 17 April 2023 |
| Series 14 | Compliance Officer Examination | 13 December 2022 |
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- Compliance Officer Examination
Individual record
- Full name
- Alison Hope Miller
- CRD
- 6848149
- Firm bio
- fminvest.com
Disciplinary history is not reported here, in either direction. Check the SEC record.
Common questions
Where does Alison Miller work?
Alison Miller has been Chief Compliance Officer of F/M Investments LLC since November 2024, and is a control person of the firm.
Does Alison Miller have a current investment-adviser registration?
Alison Miller has a current broker registration and no current investment-adviser registration.
What exams has Alison Miller passed?
Alison Miller has passed 3 licensing exams: the Series 14, Series 99TO and SIE. The earliest, the Series 14, was passed in December 2022.