Bart D. 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.
Bart Dennis Miller was a registered financial professional .
Bart is a previously registered financial professional and started their career in finance in 1986. Bart had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, 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
June 8, 2020 - April 30, 2024
MGI FUNDS DISTRIBUTORS, LLC
May 2, 2012 - July 9, 2019
CLEARBRIDGE INVESTMENTS, LLC
April 30, 2012 - July 9, 2019
FRANKLIN DISTRIBUTORS, LLC
July 4, 2011 - February 28, 2012
SANFORD C. BERNSTEIN & CO., LLC
June 30, 2011 - July 1, 2011
ALLIANCEBERNSTEIN INVESTMENTS, INC.
March 24, 2009 - March 13, 2012
ALLIANCEBERNSTEIN L.P.
October 17, 2007 - June 30, 2011
ALLIANCEBERNSTEIN INVESTMENTS, INC.
June 22, 2005 - October 10, 2007
RUSSELL INVESTMENTS
March 2, 2005 - October 9, 2007
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
May 24, 2004 - August 9, 2004
PUTNAM INVESTMENT MANAGEMENT, LLC
May 24, 1995 - August 9, 2004
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
October 10, 1994 - May 23, 1995
CITIGROUP GLOBAL MARKETS INC.
November 21, 1986 - January 12, 1988
BOETTCHER & COMPANY, INC.
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
MGI FUNDS DISTRIBUTORS, LLC
CRD#: 35682 / SEC#: , 8-46960
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS LLC | DIRECTOR OWNER/SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | CHIEF COMPLIANCE OFFICER / VP / TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
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.
