Samuel E. Miller
Professional summary
Samuel Earl Miller II was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Samuel is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Samuel had worked at 2 firms, which includes PNC BROKERAGE CORP, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 29, 1995 - December 11, 2000
PNC BROKERAGE CORP
June 7, 1994 - August 15, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
PNC BROKERAGE CORP
CRD#: 34671 / SEC#: , 8-46315
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PNC BANK, NATIONAL ASSOCIATION | PARENT | |
| CHURCH, GERARD BENEDICT | CFO & FINOP | 2367974 |
| GAMACHE, GARY LANCE | MUNI PRINCIPAL | 2123789 |
| GUYAUX, JOSEPH CLINTON | BOARD DIRECTOR | 2849157 |
| MOORE, THOMAS RICHARD | SECRETARY | 2588514 |
| MORTENSEN, MICHAEL SCOTT | PRESIDENT, SROP, CEO, BOARD DIRECTOR | 1905271 |
| RABENSTINE, JAMES JAY | CCO & CROP | 2025566 |
| WHITFORD, THOMAS KIRK | BOARD DIRECTOR | 2882678 |
Disclosures
| Arbitration | 7 |
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