David N. Miller
Professional summary
David Neil Miller is a registered financial professional currently at FORTUNE FINANCIAL SERVICES, INC. located in Washington, District Of Columbia.
David is registered as a RR (Registered Representative) and started their career in finance in 1996. David has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Neil Miller's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 30, 2007 - Present
FORTUNE FINANCIAL SERVICES, INC.
Office #1: 3233 M Street, Nw 4th Floor, Washington, DC 20007June 14, 2010 - October 5, 2011
HAZARD & SIEGEL ADVISORY SERVICES LLC
June 9, 2010 - September 28, 2011
HAZARD & SIEGEL, INC.
April 25, 2007 - June 1, 2010
RIDGEWAY & CONGER, INC.
February 22, 2007 - June 1, 2010
RIDGEWAY CONGER ADVISORY SERVICES
June 27, 2006 - January 31, 2007
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
April 28, 2006 - January 31, 2007
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
August 1, 2003 - May 4, 2006
WALNUT STREET SECURITIES, INC.
August 1, 2003 - May 4, 2006
WALNUT STREET SECURITIES, INC.
February 26, 1999 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
February 26, 1999 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
July 17, 1996 - February 27, 1999
THE O.N. EQUITY SALES COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/25/2014)
(10/16/2007)
(1/30/2007)
(4/18/2007)
Exams
FINRA
Current Firm
FORTUNE FINANCIAL SERVICES, INC.
CRD#: 42150 / SEC#: , 8-49727
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DANIELS, BLAKE WILLIAM | CHAIRMAN OF THE BOARD; SECRETARY;TREASURER;CFO | 1285106 |
| DANIELS, BRIAN LEE | OWNER | 1213561 |
| BENTLEY, GREGORY JOHN | PRESIDENT, CHIEF EXECUTIVE OFFICER | 705379 |
| PINTARIC, WILLIAM RICHARD JR | CHIEF COMPLIANCE OFFICER | |
| WHITENACK, MITCH LEE | CHIEF OPERATIONS OFFICER, FINOP, PFO, POO | 4794021 |
Disclosures
| Regulatory Event | 4 |
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.
