Joseph 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.
Joseph Barnett Miller, who also goes by Joseph Barnett Miller, Joseph Miller, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1995. Joseph had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 18, 2023 - November 24, 2023
TD PRIVATE CLIENT WEALTH LLC
May 18, 2023 - November 24, 2023
TD PRIVATE CLIENT WEALTH LLC
September 27, 2019 - May 17, 2023
CITIGROUP GLOBAL MARKETS INC.
September 25, 2019 - May 17, 2023
CITIGROUP GLOBAL MARKETS INC.
March 19, 2018 - October 1, 2019
WELLS FARGO CLEARING SERVICES, LLC
March 19, 2018 - October 1, 2019
WELLS FARGO CLEARING SERVICES, LLC
October 1, 2012 - March 21, 2018
J.P. MORGAN SECURITIES LLC
October 1, 2012 - March 21, 2018
J.P. MORGAN SECURITIES LLC
December 6, 2005 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
December 5, 2005 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
December 6, 2004 - November 17, 2005
CITICORP INVESTMENT SERVICES
March 21, 1997 - November 17, 2005
CITICORP INVESTMENT SERVICES
November 1, 1995 - March 21, 1997
VAN ECK SECURITIES CORPORATION
Primary Firm SEC Registration
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
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
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 17,824 |
| AUM (Assets Under Management) | $ 6,450,375,507 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/30/2025 | ||
| 09/27/2024 | ||
| 06/27/2023 | ||
| 12/21/2022 |
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.
