Paul D. 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.
Paul Demetric Miller, who also goes by Paul Demetrice Miller, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1990. Paul had worked at 14 firms and has passed the Series 63 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
July 30, 2001 - November 4, 2002
GUARANTY BROKERAGE SERVICES, INC.
January 26, 2001 - July 30, 2001
CAPITAL BROKERAGE CORPORATION
June 23, 1998 - October 26, 2000
CUNA BROKERAGE SERVICES, INC.
May 9, 1997 - January 23, 1998
INSTITUTIONAL CAPITAL MANAGEMENT, INC.
October 21, 1996 - April 8, 1997
IDS LIFE INSURANCE COMPANY
October 21, 1996 - April 8, 1997
AMERIPRISE FINANCIAL SERVICES, LLC
January 19, 1995 - August 30, 1996
JOSEPHTHAL & CO., INC.
June 20, 1994 - December 19, 1994
BARRON CHASE SECURITIES, INC.
May 9, 1994 - July 18, 1994
FIRST ASSET MANAGEMENT, INC.
May 28, 1993 - February 2, 1994
UBS FINANCIAL SERVICES INC.
January 21, 1992 - January 12, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 22, 1991 - December 10, 1991
CHELSEA STREET SECURITIES, INC.
January 28, 1991 - April 23, 1991
BLUESTONE CAPITAL CORP.
November 30, 1990 - February 13, 1991
J. W. GANT & ASSOCIATES, INC.
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
GUARANTY BROKERAGE SERVICES, INC.
CRD#: 23302 / SEC#: , 8-40258
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRIMEVEST FINANCIAL SERVICES, INC. | SOLE SHAREHOLDER | 15340 |
| BONNEAU, CATHERINE MCCORMACK | PRESIDENT, CHAIRMAN, CEO AND DIRECTOR | 2899706 |
| BURNS, MICHAEL DENNIS | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER AND SECRETARY | 2030617 |
| CASEY, SEAN PATRICK | VICE PRESIDENT, DIRECTOR OF BUSINESS DEVELOPMENT | 2156290 |
| DILLON, LADONNA JEAN | ASSISTANT VICE PRESIDENT | 1076897 |
| HOLWEGER, KIMBERLEY ANN | VICE PRESIDENT AND DIRECTOR OF OPERATIONS | 1572778 |
| REINHOLZ, CHRISTOPHER JON | VICE PRESIDENT AND DIRECTOR OF TRADING | 1961258 |
| RUMMELMCCOOL, LEANN RENEE | DIRECTOR, VICE PRESIDENT AND NATIONAL SALES DIRECTOR | 1965155 |
| SHELSON, MARK PAUL | DIRECTOR, VICE PRESIDENT, CHIEF FINANCIAL OFFICER AND TREASURER | 1819252 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
Disclosures
| Regulatory Event | 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.
