Randy R. Millen
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.
Randy Reid Millen, who also goes by Randy R Millen, was a registered financial advisor .
Randy is a previously registered financial advisor and started their career in finance in 1990. Randy had worked at 11 firms and has passed the Series 65, Series 63, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 8, 2011 - December 6, 2012
DOZA INVESTMENTS, LLC
May 6, 2009 - August 30, 2011
VOYA FINANCIAL ADVISORS, INC.
April 16, 2009 - August 30, 2011
VOYA FINANCIAL ADVISORS, INC.
April 14, 2008 - August 27, 2008
REGAL ADVISORY SERVICES, INC.
October 10, 2007 - August 27, 2008
REGAL SECURITIES, INC.
April 23, 2003 - July 20, 2007
BROOKSTREET SECURITIES CORPORATION
November 4, 2002 - May 16, 2003
RBC CAPITAL MARKETS, LLC
May 22, 2002 - May 16, 2003
RBC CAPITAL MARKETS, LLC
March 7, 2000 - March 18, 2002
LEHMAN BROTHERS INC.
June 2, 1998 - December 31, 1999
THE LEADERS GROUP, INC.
January 18, 1995 - December 31, 1997
COMMONWEALTH FINANCIAL NETWORK
February 10, 1992 - February 2, 1995
G. R. PHELPS & CO., INC.
December 12, 1990 - December 21, 1991
LINCOLN FINANCIAL DISTRIBUTORS, 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
DOZA INVESTMENTS, LLC
CRD#: 150944 / SEC#: 801-70450
Contact information
Regulatory assets under management
| Total Number of Accounts | 3 |
| AUM (Assets Under Management) | $ 878,000 |
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.
