David S. Miller

SP SECURITIES LLC

HOUSTON, TX 77057

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CRD#: 2097046

Professional summary

David Sutton Miller, who also goes by David S Miller, is a registered financial professional currently at SP SECURITIES LLC located in Houston, Texas.

David is registered as a RR (Registered Representative) and started their career in finance in 1993. David has worked at 2 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 24 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

David S Miller

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David Sutton Miller's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

August 4, 2004 - Present

SP SECURITIES LLC

Office #1: 6363 Woodway Dr Suite 1000, Houston, TX 77057

CRD#: 130560

HOUSTON, TX

Past

September 10, 1993 - March 1, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Texas
(8/14/2012)

Exams

State Security Law Exam

Series 63

Date: 5/2/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/21/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/2/2023

General Securities Principal Examination

Principal/Supervisory Exam

Series 27

Date: 5/6/2004

Financial and Operations Principal Examination

SRO Registrations

FINRA

Current Firm

SP SECURITIES LLC

CRD#: 130560 / SEC#: , 8-66360

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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Contact information

Main Address

6363 Woodway Dr Suite 1000, Houston, TX 77057

Mailing Address

6363 Woodway Dr Suite 1000, Houston, TX 77057

Phone number

(713) 819-8980

Established

Texas since 01/15/2004

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (15 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
SAGE PARTNERS LTD.	SOLE MEMBER
BINET, TODD M.	MANAGER, REGISTERED PRINCIPAL
MILLER, DAVID SUTTON	MANAGER, REGISTERED PRINCIPAL	2097046
MORIN, PETER B.	MANAGER, REGISTERED PRINCIPAL
WALTON, H. STEVEN	MANAGER, REGISTERED PRINCIPAL
WILSON, WILLIAM HOWARD JR	MANAGER, REGISTERED PRINCIPAL, AML PRINCIPAL
WILSON, WILLIAM HOWARD JR	DESIGNATED PRINCIPAL, FINOP, CHIEF COMPLIANCE OFFICER	1430161

Disclosures

Regulatory Event

Red Flags

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Firm Stability Insights

David S. Miller

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David Sutton Miller's CRS (Customer Relationship Summary).

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 5/2/1997

Series 99TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 8/21/1993

Series 24

Date: 1/2/2023

Series 27

Date: 5/6/2004

FINRA

Current Firm

SP SECURITIES LLC

Contact information

FINRA licenses (15 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

SP SECURITIES LLC

TRUST BUT VERIFY

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