Douglas C. Miller
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Douglas Carl Miller was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1983. Douglas had worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 3, 2002 - October 31, 2013
SPC
March 26, 2002 - October 31, 2013
PARKLAND SECURITIES, LLC
October 2, 1998 - December 31, 2000
VOYA FINANCIAL ADVISORS, INC.
August 22, 1997 - October 14, 1998
SIGNATOR INVESTORS, INC.
April 11, 1995 - August 20, 1997
VOYA FINANCIAL ADVISORS, INC.
May 21, 1993 - August 15, 1994
WELLS FARGO BROKERAGE SERVICES, L.L.C.
May 23, 1983 - August 21, 1992
GREEN HILL FINANCIAL SERVICE CORPORATION
Primary Firm SEC Registration
SPC
CRD#: 110692 / SEC#: 801-20404
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SPC
CRD#: 110692 / SEC#: 801-20404
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,544 |
| AUM (Assets Under Management) | $ 5,655,661,675 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
