Charlene 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.
Charlene Leake Miller, who also goes by Charlene L Null, was a registered financial professional .
Charlene is a previously registered financial professional and started their career in finance in 1998. Charlene had worked at 5 firms and has passed the Series 66, Series 63, Series 7TO, SIE 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
March 1, 2017 - March 22, 2022
QUEST CAPITAL MANAGEMENT, INC.
April 30, 2015 - April 7, 2021
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 15, 2015 - April 27, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 13, 2015 - April 27, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 26, 2008 - December 9, 2014
DEUTSCHE BANK SECURITIES INC.
January 13, 2001 - December 9, 2014
DEUTSCHE BANK SECURITIES INC.
December 3, 1998 - January 13, 2001
DB ALEX. BROWN 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
Series 7TO
Date: 3/28/2024
General Securities Representative ExaminationCurrent Firm
QUEST CAPITAL MANAGEMENT, INC.
CRD#: 114690 / SEC#: 801-60734
Contact information
Regulatory assets under management
| Total Number of Accounts | 1,891 |
| AUM (Assets Under Management) | $ 1,225,388,904 |
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.
