Michelle M. 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.
Michelle Marie Miller, who also goes by Michelle Marie Miller, Michelle Marie Milligan, Michelle M Spada, Michelle Marie Spada, was a registered financial professional .
Michelle is a previously registered financial professional and started their career in finance in 1990. Michelle had worked at 7 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 3, Series 31, Series 7, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 15, 2022 - October 14, 2022
TD AMERITRADE, INC.
March 15, 2022 - December 31, 2023
TD AMERITRADE, INC.
September 14, 2015 - June 16, 2026
CHARLES SCHWAB & CO., INC.
September 14, 2015 - June 16, 2026
CHARLES SCHWAB & CO., INC.
August 12, 2006 - July 13, 2015
UBS FINANCIAL SERVICES INC.
August 12, 2006 - July 13, 2015
UBS FINANCIAL SERVICES INC.
March 18, 2002 - August 12, 2006
PIPER SANDLER & CO.
September 24, 1997 - August 12, 2006
PIPER SANDLER & CO.
July 31, 1993 - January 28, 1997
CITIGROUP GLOBAL MARKETS INC.
September 5, 1991 - July 31, 1993
LEHMAN BROTHERS INC.
October 22, 1990 - September 4, 1991
PRUDENTIAL EQUITY GROUP, 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 8
Date: 11/23/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 83 |
| Civil Event | 1 |
| Arbitration | 144 |
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.
