Douglas E. Miles
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.
Douglas Everett Miles was a registered financial advisor .
Douglas is a previously registered financial advisor and started their career in finance in 1991. Douglas had worked at 14 firms and has passed the Series 65, Series 63, Series 7 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
November 26, 2008 - March 16, 2009
ADVISORS ASSET MANAGEMENT, INC.
November 26, 2008 - March 16, 2009
ADVISORS ASSET MANAGEMENT, INC.
January 25, 2007 - December 2, 2008
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
January 25, 2007 - December 2, 2008
TD AMERITRADE, INC.
September 21, 2006 - January 3, 2007
TD AMERITRADE, INC.
April 22, 2006 - January 3, 2007
TD AMERITRADE, INC.
January 3, 2006 - January 3, 2007
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
January 3, 2006 - April 22, 2006
TD AMERITRADE CLEARING, INC.
November 11, 2005 - December 31, 2005
RHODES SECURITIES, INC.
December 14, 2000 - August 14, 2002
WELLS FARGO BROKERAGE SERVICES, L.L.C.
December 13, 2000 - November 10, 2003
WELLS FARGO INVESTMENTS, LLC
May 18, 2000 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
May 9, 2000 - May 7, 2001
WELLS FARGO SECURITIES INC.
November 1, 1999 - April 18, 2000
BANC ONE SECURITIES CORPORATION
January 4, 1999 - December 9, 1999
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 5, 1998 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
March 6, 1998 - July 3, 1998
BBVA COMPASS INVESTMENT SOLUTIONS, INC
February 26, 1997 - March 5, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 11, 1991 - March 10, 1992
FIDELITY BROKERAGE SERVICES LLC
Primary Firm SEC Registration
ADVISORS ASSET MANAGEMENT, INC.
CRD#: 46727 / SEC#: 801-62731, 8-51509
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
ADVISORS ASSET MANAGEMENT, INC.
CRD#: 46727 / SEC#: 801-62731, 8-51509
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AAM HOLDINGS, INC | SHAREHOLDER | |
| CORSO, CLIFFORD DEAN | CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER/DIRECTOR | 2477519 |
| DANIEL, BART PATRICK | CHIEF TECHNOLOGY OFFICER/DIRECTOR | 4263841 |
| FERONE, MARILEE | EXEC. VP | 1450526 |
| GENOVESE, CHRISTOPHER THOMAS | EXEC. VP/DIRECTOR | 2255451 |
| GILBERT, BRIAN WAYNE | SR. VP | 1857325 |
| LLOYD, MATTHEW WILLIAM | CHIEF INVESTMENT STRATEGIST/EXEC. VP/DIRECTOR | 2460808 |
| MEITZNER, ALEX ROBERT | SR. VP | 1964373 |
| OPIE, JEFFREY KURTIS | EXEC. VP, CHIEF FINANCIAL OFFICER | 5763807 |
| SICKLES, CHARLES EDWARD | EXEC. VP | 2097390 |
| STEWART, RICHARD ALAN | EXEC. VP | 1653343 |
| STOKLOSA, TIMOTHY JOHN | EXEC. VP, CHIEF OPERATING OFFICER | 4897959 |
| WEBBER, JOHN EDWIN | SVP, CHIEF COMPLIANCE OFFICER/SECRETARY | 5169415 |
Regulatory assets under management
| Total Number of Accounts | 1,591 |
| AUM (Assets Under Management) | $ 1,958,198,460 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
