Dorothy L. 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.
Dorothy Lausberg Miller, who also goes by Dorothy Lausberg Key, Dorothy Marie Lausberg, was a registered financial professional .
Dorothy is a previously registered financial professional and started their career in finance in 1983. Dorothy had worked at 10 firms and has passed the Series 63, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 15, 2006 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
September 15, 2006 - July 26, 2013
WALNUT STREET SECURITIES, INC.
September 15, 2006 - July 26, 2013
TOWER SQUARE SECURITIES, INC.
September 15, 2006 - July 26, 2013
MSI FINANCIAL SERVICES, INC.
September 15, 2006 - July 26, 2013
METLIFE INVESTORS DISTRIBUTION COMPANY
February 28, 1994 - July 26, 2013
NEW ENGLAND SECURITIES
September 5, 1991 - January 12, 1994
FORTH FINANCIAL SECURITIES, CORPORATION
October 9, 1990 - July 30, 1991
NEW ENGLAND SECURITIES
June 22, 1989 - October 12, 1990
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
August 15, 1984 - July 13, 1989
VERAVEST INVESTMENTS, INC.
June 15, 1983 - December 11, 1984
PRUCO SECURITIES, LLC.
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
METROPOLITAN LIFE INSURANCE COMPANY
CRD#: 4095 / SEC#: , 8-14901
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| METLIFE, INC. | 100% SHAREHOLDER | |
| BARNETTE, CURTIS HANDLEY | DIRECTOR | |
| DOLE, BURTON A | DIRECTOR | |
| GRISE, CHERYL | DIRECTOR | |
| HALPERIN, JEFFREY PAUL | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER & ANTI-MONEY LAUNDERING OFFICER | 2899327 |
| HENRIKSON, CARL ROBERT | CHIEF EXECUTIVE OFFICER, PRESIDENT & CHAIRMAN OF THE BOARD | 243239 |
| HOLTZER, DAVID MICHAEL | CHIEF COMPLIANCE OFFICER, BROKER DEALER | 4345697 |
| HOUGHTON, JAMES RICHARDSON | DIRECTOR | |
| JOURNY, TIMOTHY LYONS | SENIOR VICE PRESIDENT AND GENERAL AUDITOR | |
| KAMEN, HARRY PAUL | DIRECTOR | 1545937 |
| KANDARIAN, STEVEN ALBERT | EXECUTIVE VICE PRESIDENT & CIO | |
| KAPLAN, HELENE L | DIRECTOR | |
| KEANE, JOHN M. | DIRECTOR | |
| KILTS, JAMES | DIRECTOR | |
| LEIGHTON, CHARLES | DIRECTOR | |
| LIPSCOMB, JAMES LOUIS | EXECUTIVE VICE PRESIDENT & GENERAL COUNSEL | |
| MATHEWS, SYLVIA | DIRECTOR | |
| MULLANEY, WILLIAM JOSEPH | PRESIDENT, INSTITUTIONAL BUSINESS | 2641484 |
| PRICE, HUGH BERNARD | DIRECTOR | |
| REIN, CATHERINE AMELIA | SENIOR EXECUTIVE VICE PRESIDENT AND CHIEF ADMINISTRATIVE OFFICER | 2605134 |
| SICCHITANO, KENTON JOSEPH | DIRECTOR | |
| STEERE, WILLIAM CAMPBELL | DIRECTOR | |
| TOPPETA, WILLIAM JOHN | PRESIDENT, INTERNATIONAL | 2835140 |
| VIETRI, MICHAEL JOSEPH | EXECUTIVE VICE PRESIDENT | 1068983 |
| WEBER, LISA M | PRESIDENT, INDIVIDUAL BUSINESS | |
| WHEELER, WILLIAM JAMES | EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFICER | 1208521 |
Disclosures
| Regulatory Event | 11 |
| Civil Event | 1 |
| Arbitration | 6 |
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.
