Scott D. 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.
Scott Davies Miller, who also goes by Scott D Miller, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1994. Scott had worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 23, 2010 - December 23, 2015
MCLEAN SECURITIES, LLC
April 12, 2006 - April 22, 2010
CETERA INVESTMENT ADVISERS LLC
June 30, 2004 - April 22, 2010
CETERA FINANCIAL SPECIALISTS LLC
January 9, 1995 - June 30, 2004
HOCHMAN & BAKER SECURITIES, INC.
August 31, 1994 - December 31, 1994
AVANTAX 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
Exams
Current Firm
MCLEAN SECURITIES, LLC
CRD#: 104117 / SEC#: , 8-52565
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE MCLEAN GROUP, LLC | PARENT | |
| MARTIN, MITCHELL ZACHARY | CCO | 4993937 |
| SMITH, ANDREW CLIFFORD | FINOP |
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
