Alan 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.
Alan Michael Miller was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1987. Alan had worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 53 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
December 21, 2015 - January 26, 2016
FIDELITY BROKERAGE SERVICES LLC
February 17, 2012 - December 31, 2013
CUE FINANCIAL GROUP, INC.
January 10, 2012 - December 31, 2013
FOOTHILL SECURITIES, INC.
October 10, 2007 - January 9, 2012
CUNA BROKERAGE SERVICES, INC.
October 8, 2007 - January 9, 2012
CUNA BROKERAGE SERVICES, INC.
September 20, 2006 - September 20, 2007
CUE FINANCIAL GROUP, INC.
September 20, 2006 - September 20, 2007
CUE FINANCIAL GROUP, INC.
June 16, 2005 - April 6, 2006
LPL FINANCIAL LLC
June 16, 2005 - April 6, 2006
LPL FINANCIAL LLC
October 26, 2004 - April 1, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
October 26, 2004 - April 1, 2005
IDS LIFE INSURANCE COMPANY
October 26, 2004 - April 1, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
May 24, 2002 - April 20, 2004
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
January 12, 2001 - April 20, 2004
NYLIFE DISTRIBUTORS LLC
August 18, 1999 - November 16, 1999
NORTHSTAR DISTRIBUTORS, INC.
February 1, 1999 - June 14, 2000
VOYA INVESTMENTS DISTRIBUTOR, LLC
August 13, 1996 - January 29, 1999
NICHOLAS-APPLEGATE SECURITIES LLC
September 20, 1993 - February 20, 1996
WELLS FARGO SECURITIES INC.
January 10, 1991 - September 20, 1993
MARKETING ONE SECURITIES, INC.
May 31, 1989 - January 28, 1991
LEHMAN BROTHERS INC.
November 25, 1987 - June 7, 1989
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
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
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 124 |
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.
