Douglas P. Miller
Professional summary
Douglas Pete Miller was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Douglas is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Douglas had worked at 2 firms, which includes VIKING FUND DISTRIBUTORS LLC, ND CAPITAL INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 8, 1999 - March 27, 2006
VIKING FUND DISTRIBUTORS, LLC
February 27, 1997 - June 2, 1998
ND CAPITAL, INC.
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 62
Date: 3/1/1997
Corporate Securities Limited Representative ExaminationCurrent Firm
VIKING FUND DISTRIBUTORS, LLC
CRD#: 47003 / SEC#: , 8-51609
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VIKING FUND MANAGEMENT, LLC | PARENT COMPANY | |
| RADKE, SHANNON DOYLE | PRESIDENT/CHIEF COMPLIANCE OFFICER | 1894150 |
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.
