David Miller
Professional summary
David Miller was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
David is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, David had worked at 7 firms, which includes ROCHDALE SECURITIES LLC, LADENBURG THALMANN & CO. INC., PUNK ZIEGEL & COMPANY L.P., FIS BROKERAGE & SECURITIES SERVICES LLC, NEEDHAM & COMPANY LLC, CROWN FINANCIAL GROUP INC., GILFORD SECURITIES INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 17, 2009 - November 21, 2012
ROCHDALE SECURITIES LLC
May 2, 2008 - March 3, 2009
LADENBURG THALMANN & CO. INC.
February 11, 2004 - May 15, 2008
PUNK, ZIEGEL & COMPANY, L.P.
June 23, 2003 - February 20, 2004
FIS BROKERAGE & SECURITIES SERVICES LLC
April 11, 1997 - February 18, 2003
NEEDHAM & COMPANY, LLC
February 28, 1996 - April 7, 1997
CROWN FINANCIAL GROUP, INC.
January 27, 1995 - March 1, 1996
GILFORD SECURITIES INCORPORATED
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
Series 55
Date: 1/4/1999
Limited Representative-Equity Trader ExamCurrent Firm
ROCHDALE SECURITIES LLC
CRD#: 6863 / SEC#: , 8-36987
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CROWLEY, DANIEL JOSEPH | PRESIDENT | 2013600 |
| ROCHDALE CORPORATION | SHAREHOLDER | |
| TALGO, KRISTEN LYLE | SENIOR VICE PRESIDENT | 1006408 |
| TUNICK, HAL STEVEN | SENIOR VICE PRESIDENT | 1342503 |
| BENNETT, RICHARD WILLIAM | VICE PRESIDENT | 18380 |
| BURKE, PATRICK RONALD JR | VICE PRESIDENT | 2133167 |
| CASSIDY, KEVIN JOSEPH | SENIOR VICE PRESIDENT | 2661918 |
| DIMANGO, DOMENICK | V. P. CHIEF COMPLIANCE OFFICER, ROSFP | 1040021 |
| ODDO, RICHARD DARYL | VICE PRESIDENT | 728315 |
| RAUSEI, FLAVIO ANGEL | COMPTROLLER, FINOP | 4551765 |
| SIMPSON, MATTHEW A. | MANGING DIRECTOR | 4715223 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
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