Roger J. Miller
Professional summary
Roger James Miller, CIMA® is a registered financial professional currently at FRANKLIN DISTRIBUTORS, LLC located in St. Petersburg, Florida.
Roger is registered as a RR (Registered Representative) and started their career in finance in 1993. Roger has worked at 12 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Roger James Miller's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 1, 2023 - Present
FRANKLIN DISTRIBUTORS, LLC
Office #1: 100 Fountain Parkway, St. Petersburg, FL 33716July 23, 2019 - March 1, 2023
AMERICAN CENTURY INVESTMENT SERVICES INC.
June 8, 2015 - May 31, 2019
INVESCO ADVISERS, INC.
June 1, 2015 - May 31, 2019
INVESCO DISTRIBUTORS, INC.
September 17, 2008 - May 21, 2015
OPPENHEIMER & CO. INC.
December 5, 2007 - September 29, 2008
GLOBAL CROWN CAPITAL, LLC
September 7, 2006 - December 3, 2007
STANFORD GROUP COMPANY
October 3, 2001 - September 1, 2006
CITIZENS JMP SECURITIES, LLC
April 24, 2000 - August 31, 2001
BANC OF AMERICA SECURITIES LLC
April 10, 1996 - April 27, 2000
DELAWARE DISTRIBUTORS, L.P.
October 6, 1994 - April 9, 1996
FLAGSHIP FUNDS INC.
February 1, 1993 - July 12, 1994
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
State Registrations and Notice Filings
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Exams
FINRA
Current Firm
FRANKLIN DISTRIBUTORS, LLC
CRD#: 109064 / SEC#: , 8-53089
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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Company Information
FRANKLIN DISTRIBUTORS, LLC
CRD#: 109064St. Petersburg, FL 33716TRUST BUT VERIFY
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