David P. Miller
Professional summary
David Perry Miller, CFP®, who also goes by David P Miller, is a registered financial professional currently at ALLSTATE FINANCIAL SERVICES, LLC located in Charlotte, North Carolina.
David is registered as a RR (Registered Representative) and started their career in finance in 1992. David has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Perry Miller's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2000
Experience
October 30, 2002 - Present
ALLSTATE FINANCIAL SERVICES, LLC
Office #1: 6853 Fairview Rd Ste C, Charlotte, NC 28210-3345May 6, 1998 - October 18, 2002
NEW ENGLAND SECURITIES
June 4, 1997 - May 1, 1998
WS GRIFFITH SECURITIES, INC.
March 26, 1996 - August 2, 1996
BANK SOUTH INVESTMENT SERVICES, INC.
February 15, 1996 - May 19, 1997
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 13, 1995 - February 20, 1996
BANC OF AMERICA SECURITIES LLC
August 3, 1992 - November 22, 1995
BANC OF AMERICA INVESTMENT SERVICES, 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
(10/9/2018)
(5/16/2023)
(5/16/2023)
(2/20/2020)
(7/18/2019)
(10/30/2002)
(5/7/2003)
(4/14/2023)
(1/3/2011)
Exams
FINRA
Current Firm
ALLSTATE FINANCIAL SERVICES, LLC
CRD#: 18272 / SEC#: , 8-36365
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSTATE INSURANCE COMPANY | OWNER | |
| BOUDREAU, JOHN DOUGLAS | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE | 6357880 |
| DELANEY, SCOTT SULLIVAN | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2978681 |
| LANSPA, PAUL DONALD | CHIEF OPERATING OFFICER | 6449159 |
| MUELLER, DAVID JOHN | GENERAL COUNSEL AND SECRETARY | 7807045 |
| NELSON, MARY KRIS | CHAIRMAN OF THE BOARD | 2464654 |
| SWEENEY, MICHAEL DANIEL | AML OFFICER | 2026113 |
| WHITCOMB, MICHAEL JAMES | FINOP | 7495756 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Red Flags
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