Brian K. Miller
Professional summary
Brian Keith Miller was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Brian is a previously registered financial advisor and started their career in finance in 1996. Prior to being barred, Brian had worked at 7 firms, which includes ANDERSON & STRUDWICK INCORPORATED, NFSG CORPORATION, NEWBRIDGE SECURITIES CORPORATION, TRUIST INVESTMENT SERVICES INC., WELLS FARGO CLEARING SERVICES LLC, PRUDENTIAL EQUITY GROUP LLC, MORGAN KEEGAN & COMPANY LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 29, 2008 - January 14, 2010
ANDERSON & STRUDWICK, INCORPORATED
April 3, 2008 - January 14, 2010
ANDERSON & STRUDWICK, INCORPORATED
September 13, 2006 - March 31, 2008
NFSG CORPORATION
October 12, 2005 - March 31, 2008
NEWBRIDGE SECURITIES CORPORATION
April 6, 2004 - August 31, 2005
TRUIST INVESTMENT SERVICES, INC.
July 3, 2003 - August 31, 2005
TRUIST INVESTMENT SERVICES, INC.
July 1, 2003 - July 11, 2003
WELLS FARGO CLEARING SERVICES, LLC
November 2, 2000 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
August 1, 1996 - October 31, 2000
MORGAN KEEGAN & COMPANY, LLC
State Registrations and Notice Filings
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Exams
Current Firm
ANDERSON & STRUDWICK, INCORPORATED
CRD#: 48 / SEC#: , 8-18206
Contact information
Documents
Disclosures
| Regulatory Event | 19 |
| Arbitration | 2 |
Red Flags
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