Winston L. 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.
Winston L Miller, who also goes by Winston Lloyd Miller, was a registered financial professional .
Winston is a previously registered financial professional and started their career in finance in 1996. Winston had worked at 10 firms and has passed the Series 65, Series 63, Series 31 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
October 8, 2013 - February 12, 2014
PRUCO SECURITIES, LLC.
September 20, 2013 - February 12, 2014
PRUCO SECURITIES, LLC.
February 11, 2011 - October 22, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 8, 2011 - October 22, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 2, 2008 - September 4, 2009
SECURITIES AMERICA ADVISORS, INC.
September 16, 2008 - September 4, 2009
SECURITIES AMERICA, INC.
October 10, 2007 - July 1, 2008
LPL FINANCIAL LLC
October 10, 2007 - July 1, 2008
LPL FINANCIAL LLC
June 23, 2005 - October 9, 2007
UVEST FINANCIAL SERVICES GROUP, INC.
June 23, 2005 - October 9, 2007
UVEST FINANCIAL SERVICES GROUP, INC.
June 10, 2005 - November 18, 2005
VALIC FINANCIAL ADVISORS, INC.
June 10, 2005 - November 18, 2005
VALIC FINANCIAL ADVISORS, INC.
December 13, 2004 - February 8, 2005
SENTRA SECURITIES CORPORATION
March 10, 2004 - October 6, 2004
COMERICA SECURITIES
July 24, 2003 - October 6, 2004
COMERICA SECURITIES
January 25, 1999 - April 15, 2003
MORGAN STANLEY DW INC.
December 10, 1998 - April 15, 2003
MORGAN STANLEY DW INC.
March 7, 1996 - December 10, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
PRUCO SECURITIES, LLC.
CRD#: 5685 / SEC#: 801-52208, 8-16402
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
PRUCO SECURITIES, LLC.
CRD#: 5685 / SEC#: 801-52208, 8-16402
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE PRUDENTIAL INSURANCE COMPANY OF AMERICA | SOLE MEMBER | |
| FELICIANO, DEXTER MICHAEL | PRESIDENT | 5483537 |
| FLORIO, KELLY NICOLE | ANTI-MONEY LAUNDERING OFFICER | 6446272 |
| FONTANO, ANTHONY MICHAEL | ELECTED MANAGER | 6852155 |
| HYNES, PATRICK LIAM | CHAIRMAN, ELECTED MANAGER | 2748918 |
| PATEL, PARANJ | CHIEF COMPLIANCE OFFICER | 4235738 |
| SMIT, ROBERT PHILIP | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, CONTROLLER, PRINCIPAL OPERATIONS OFFICER | 2332366 |
| THOMSEN, JORDAN KARSTEN | CHIEF LEGAL OFFICER | 2821664 |
Disclosures
| Regulatory Event | 30 |
| Arbitration | 13 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/27/2025 | ||
| 12/22/2023 | ||
| 12/22/2023 |
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.
