Donald E. 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.
Donald Eugene Miller, who also goes by Donald E Miller, was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1987. Donald had worked at 11 firms and has passed the Series 63, Series 6, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 2, 2012 - April 2, 2013
ALLSTATE FINANCIAL SERVICES, LLC
October 25, 2007 - February 6, 2008
MCLEAN SECURITIES, LLC
January 7, 2005 - December 31, 2006
THE MILLER LAFFERTY GROUP INC.
April 23, 2001 - December 31, 2004
THE MILLER LAFFERTY GROUP INC.
September 8, 1995 - July 27, 2000
IDS LIFE INSURANCE COMPANY
September 8, 1995 - July 27, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
October 27, 1994 - October 27, 1995
WORKMAN SECURITIES CORPORATION
September 28, 1993 - August 22, 1994
PRUCO SECURITIES, LLC.
August 14, 1990 - December 18, 1991
QUEST CAPITAL STRATEGIES, INC.
February 22, 1990 - November 16, 1990
NEW ENGLAND SECURITIES
January 13, 1989 - March 3, 1990
TRANSAMERICA SECURITIES SALES CORPORATION
January 13, 1989 - March 3, 1990
TRANSAMERICA FINANCIAL ADVISORS, INC.
June 8, 1987 - September 28, 1989
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
ALLSTATE FINANCIAL SERVICES, LLC
CRD#: 18272 / SEC#: , 8-36365
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSTATE INSURANCE COMPANY | OWNER | |
| BOUDREAU, JOHN DOUGLAS | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE | 6357880 |
| DELANEY, SCOTT SULLIVAN | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2978681 |
| LANSPA, PAUL DONALD | CHIEF OPERATING OFFICER | 6449159 |
| MUELLER, DAVID JOHN | GENERAL COUNSEL AND SECRETARY | 7807045 |
| NELSON, MARY KRIS | CHAIRMAN OF THE BOARD | 2464654 |
| SWEENEY, MICHAEL DANIEL | AML OFFICER | 2026113 |
| WHITCOMB, MICHAEL JAMES | FINOP | 7495756 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
