Patrick L. 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.
Patrick Lenning Miller was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1991. Patrick had worked at 8 firms and has passed the Series 65, Series 63, Series 31, Series 7 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
September 8, 2007 - July 18, 2012
NAVY FEDERAL ASSET MANAGEMENT, LLC
July 12, 2006 - September 8, 2007
NAVY FEDERAL INVESTMENT SERVICES, LLC
May 11, 2006 - July 17, 2012
NAVY FEDERAL INVESTMENT SERVICES, LLC
March 6, 2006 - September 20, 2006
CUNA BROKERAGE SERVICES, INC.
October 29, 2002 - April 1, 2004
CUNA BROKERAGE SERVICES, INC.
October 29, 2002 - June 16, 2006
CUNA BROKERAGE SERVICES, INC.
June 28, 2002 - October 10, 2002
CETERA WEALTH SERVICES, LLC
January 31, 2001 - October 10, 2002
CETERA WEALTH SERVICES, LLC
July 29, 1996 - October 26, 2000
CUNA BROKERAGE SERVICES, INC.
March 1, 1996 - August 2, 1996
THE ADVISORS GROUP, INC.
July 27, 1995 - January 31, 1996
U.S. BANCORP INVESTMENTS, INC.
December 21, 1992 - June 6, 1995
MORGAN STANLEY DW INC.
March 12, 1991 - January 1, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
NAVY FEDERAL ASSET MANAGEMENT, LLC
CRD#: 144244 / SEC#:
Contact information
Red Flags
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