Mark W. 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.
Mark William Miller was a registered financial advisor .
Mark is a previously registered financial advisor and started their career in finance in 1987. Mark had worked at 5 firms and has passed the Series 65, Series 63, Series 6 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 9, 2004 - December 31, 2008
MW MILLER FINANCIAL, INC
September 7, 2000 - May 21, 2002
LEGACY FINANCIAL SERVICES, INC.
January 24, 2000 - December 31, 2003
MILLER CAPITAL MANAGEMENT, INC.
April 3, 1997 - December 31, 1997
PFS INVESTMENTS INC.
February 16, 1988 - November 19, 1988
LM CONSOLIDATED FINANCIAL CORP.
August 20, 1987 - January 27, 1988
AMERIPRISE FINANCIAL SERVICES, 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
No current employment
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.
