David B. 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.
David Brian Miller was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1995. David had worked at 5 firms and has passed the Series 63, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 10, 2001 - June 8, 2001
CLARK STREET CAPITAL, INC.
December 18, 1998 - May 9, 2001
ROYAL HUTTON SECURITIES CORP.
January 9, 1998 - November 19, 1998
CENTEX SECURITIES, INCORPORATED
October 3, 1996 - December 16, 1997
ROYAL HUTTON SECURITIES CORP.
April 26, 1996 - October 15, 1996
TOLUCA PACIFIC SECURITIES CORP.
December 12, 1995 - April 30, 1996
FAIRCHILD FINANCIAL GROUP, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 55
Date: 7/24/2000
Limited Representative-Equity Trader ExamCurrent Firm
CLARK STREET CAPITAL, INC.
CRD#: 38304 / SEC#: , 8-48222
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
Red Flags
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