David K. Miller
Professional summary
David Keith Miller, who also goes by David Keith Miller, is a registered financial professional currently at CASTLEOAK SECURITIES, LP located in New York, New York.
David is registered as a RR (Registered Representative) and started their career in finance in 1987. David has worked at 7 firms and has passed the Series 63, Series 52TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Keith Miller's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 1, 2022 - Present
CASTLEOAK SECURITIES, LP
Office #1: 200 Vesey Street Fl 04, New York, NY 10281March 6, 2006 - May 18, 2022
MIZUHO SECURITIES USA LLC
January 29, 2004 - November 30, 2005
REFCO SECURITIES, LLC
September 28, 1998 - January 13, 2004
MUFG SECURITIES AMERICAS INC.
February 23, 1995 - September 18, 1998
GEMINI FINANCIAL CORPORATION
January 1, 1992 - February 26, 1993
J.P. MORGAN SECURITIES INC.
May 15, 1987 - January 1, 1992
MANUFACTURERS HANOVER SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/1/2022)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Current Firm
CASTLEOAK SECURITIES, LP
CRD#: 125334 / SEC#: , 8-65786
Contact information
FINRA licenses (50 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JONES, DAVID RODERICK | CHIEF EXECUTIVE OFFICER | 2389684 |
| CASTLEOAK MANAGEMENT, LLC | GENERAL PARTNER | |
| GOMEZ, LUIS J | FINOP AND PRINCIPAL FINANCIAL OFFICER | 4974439 |
| IPPOLITO, PHILIP | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1072137 |
| SKINNER, JEFFREY THOMAS | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 4078336 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
Red Flags
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