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Mr. Aon D. Miller

Mr. Aon D. Miller

AM Investment Strategies, LLC
(423) 486-1888
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professional profile

Year CFP® Certification Received

Planning Services Offered

  • Investment Planning

Your Minimum Investable Assets

  • $250,000


  • English


CFP Board Public Disciplinary History

Effective Date: 7/17/2019

Aon Miller (Chattanooga): In July 2019, CFP Board’s Disciplinary and Ethics Commission (Commission) and Mr. Miller entered into a settlement agreement in which Mr. Miller agreed that CFP Board would issue a one-year suspension. In the settlement agreement, Mr. Miller consented to CFP Board's findings that he failed to comply with regulatory requirements governing professional services to the client and failed to perform professional services with dedication to the lawful objectives of his employer when he failed to disclose to his employer certain outside business activities in writing prior to engaging in private securities transactions in 2012. CFP Board also found that Mr. Miller was terminated by his prior firm for his conduct in 2012, and found that, in May 2018, the National Adjudicatory Council of the Financial Industry Regulatory Authority (FINRA) concluded that Mr. Miller had participated in private securities transactions without providing requisite notice to his firm in violation of National Association of Securities Dealers (NASD) Rule 3040 and FINRA Rule 2010, and suspended him for a total of one year. CFP Board determined that Mr. Miller’s conduct violated Rules 4.3 and 5.1 of CFP Board's Rules of Conduct, and provided grounds for discipline pursuant to Articles 3(A) and 3(D) of CFP Board's Disciplinary Rules. Mr. Miller’s suspension is effective from July 17, 2019 until July 17, 2020.

Disclosure Under CFP Board’s Prior Bankruptcy Disclosure Procedures
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Until June 30, 2020, CFP Board made public disclosures about CFP® professionals who had filed a personal or business bankruptcy. These were disclosures and not disciplinary actions or sanctions. These disclosures stay on CFP Board’s website for 10 years. There are more details below on this page.


Disclosure Information

CFP Board makes available information that a CFP® professional has provided about his or her practice. CFP Board also provides information about any CFP® professional that CFP Board has publicly disciplined or any professional who made a bankruptcy disclosure to CFP Board (more details about bankruptcy below). We cannot guarantee the information the CFP® professional has provided is accurate or complete. You should verify the accuracy of the information yourself.

While the information on this website may be useful to you, there may be more information from other sources you will need or want. Provided below are links to other sources of information about CFP® professionals that may be more recent or that may contain information that has not led to CFP Board discipline and does not appear on CFP Board’s website. The information may include customer disputes, disciplinary actions taken by a regulator or employer, certain criminal matters, and certain financial matters (such as bankruptcy proceedings and unpaid judgments or liens). The links provided below may provide additional information only if the CFP® professional is subject to the oversight of that regulator or SRO. If the CFP® professional is not subject to their oversight, then the link will not provide access to any additional information about that person.

  • You can find information about CFP® professionals who are subject to Financial Industry Regulatory Authority (FINRA) or Securities and Exchange Commission (SEC) oversight through FINRA’s BrokerCheck and the SEC’s Investment Adviser Public Disclosure databases. Both are free tools you can use to conduct research.
  • Visit your state securities regulator’s website for more information about brokers and investment advisers and your state insurance department website for more information about insurance professionals.
  • Visit the Office of the Comptroller of the Currency (OCC) website to search for enforcement actions against individuals who are subject to OCC oversight.
  • Conduct an Internet search on the CFP® professional’s name (and business name).

About Bankruptcies

Effective June 30, 2020, CFP Board may publicly sanction a CFP® professional for a personal or business bankruptcy that violates CFP Board’s Code of Ethics and Standards of Conduct. (There is no violation if the CFP® professional can make a case that the bankruptcy does not reflect on the professional’s ability to responsibly manage his or her own financial affairs or the financial affairs of the business.) You can find public sanctions in the “CFP Board Public Disciplinary History.” Under the “Prior Bankruptcy Disclosure Procedures” that applied from July 2012 – June 2020, CFP Board published information about a CFP® professional’s verified single bankruptcy in a press release and on CFP Board’s website. These were disclosures, not discipline or sanctions, and remain on CFP Board’s website for 10 years. You may learn more about the disclosure procedures here. You can learn more information about a bankruptcy filing at the U.S. Court’s website. You will be required to register and pay a nominal fee to view the information on that website.