DM
David S. Miller
A.G.P. / ALLIANCE GLOBAL PARTNERS
Boca Raton, FL 33431
Some features on this profile are disabled
CRD#: 2825488
DM
Professional summary
David Scott Miller, who also goes by David S Miller, is a registered financial professional currently at A.G.P. / ALLIANCE GLOBAL PARTNERS located in Boca Raton, Florida.
David is registered as a RR (Registered Representative) and started their career in finance in 1996. David has worked at 6 firms and has passed the Series 63, Series 52TO, Series 57TO, Series 99TO, SIE, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
David S Miller
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view David Scott Miller's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
April 7, 2025 - Present
A.G.P. / ALLIANCE GLOBAL PARTNERS
Office #1: Fountain Square 2700 N. Military Trail, Suite 230, Boca Raton, FL 33431RIA
BD
CRD#: 8361
Boca Raton, FL
Past
December 2, 2019 - May 5, 2025
MAXIM GROUP LLC
BD
CRD#: 120708
NEW YORK, NY
Past
April 21, 2016 - October 22, 2019
WELLS FARGO SECURITIES, LLC
BD
CRD#: 126292
NEW YORK, NY
Past
May 6, 2010 - October 22, 2019
WELLS FARGO PRIME SERVICES, LLC
BD
CRD#: 133068
New York, NY
Past
May 23, 2003 - December 16, 2009
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
BD
CRD#: 3466
PHILADELPHIA, PA
Past
November 26, 1996 - August 19, 2009
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
A.G.P. / ALLIANCE GLOBAL PARTNERS
A.G.P / ALLIANCE GLOBAL PARTNERS | VAN PELT & COMPANY | THE A.I.D. GROUP | SHILLIN WEALTH MANAGEMENT | SES GROUP | PINZKER & ASSOCIATES | NTS BEARING | LUNDBLADE FINANCIAL GROUP | LOWELL NEWMAN | KS CAPITAL MANAGEMENT, INC | INTUIT WEALTH MANAGEMENT | EURO PACIFIC CAPITAL, INC. | EPC ADVISORS GROUP, A DIV. OF A.G.P. / ALLIANCE GLOBAL PARTNERS | EPC ADVISORS GROUP | BOATMAN FINANCIAL MANAGEMENT, PLLC | ALLIANCE GLOBAL PLANNING | AGP FINANCIAL DISTRICT | ABC WEALTH MANAGEMENT | A.G.P. / ALLIANCE GLOBAL PARTNERS, LLC | A.G.P. / ALLIANCE GLOBAL PARTNERS OF THE LOWCOUNTRY | A.G.P. / ALLIANCE GLOBAL PARTNERS CORP. | A.G.P. / ALLIANCE GLOBAL PARTNERS | A.G.P. / ALLIANCE GLOBAL | A.G.P.
CRD#: 8361 / SEC#: 801-70276, 8-25132
RIA
Registered Investment Advisory firm - SEC (6/15/2009 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(5/5/2025)
RR
Alaska(5/12/2025)
RR
Arizona(5/5/2025)
RR
Arkansas(5/6/2025)
RR
California(5/6/2025)
RR
Colorado(5/5/2025)
RR
Connecticut(4/9/2025)
RR
Delaware(5/14/2025)
RR
District of Columbia(4/14/2025)
RR
Florida(4/14/2025)
RR
Georgia(5/8/2025)
RR
Hawaii(8/26/2025)
RR
Idaho(4/11/2025)
RR
Illinois(5/6/2025)
RR
Indiana(5/5/2025)
RR
Iowa(4/7/2025)
RR
Kansas(4/10/2025)
RR
Kentucky(4/8/2025)
RR
Louisiana(5/5/2025)
RR
Maine(4/7/2025)
RR
Maryland(5/16/2025)
RR
Massachusetts(4/7/2025)
RR
Michigan(4/14/2025)
RR
Minnesota(5/5/2025)
RR
Mississippi(5/5/2025)
RR
Missouri(4/7/2025)
RR
Montana(4/7/2025)
RR
Nebraska(4/7/2025)
RR
Nevada(5/5/2025)
RR
New Hampshire(4/8/2025)
RR
New Jersey(5/5/2025)
RR
New Mexico(4/7/2025)
RR
New York(4/7/2025)
RR
North Carolina(5/5/2025)
RR
North Dakota(4/14/2025)
RR
Ohio(4/7/2025)
RR
Oklahoma(5/5/2025)
RR
Oregon(4/11/2025)
RR
Pennsylvania(4/8/2025)
RR
Puerto Rico(4/24/2025)
RR
Rhode Island(4/8/2025)
RR
South Carolina(5/6/2025)
RR
South Dakota(5/5/2025)
RR
Tennessee(4/16/2025)
RR
Texas(4/8/2025)
RR
Utah(4/7/2025)
RR
Vermont(5/5/2025)
RR
Virginia(5/3/2025)
RR
Washington(5/5/2025)
RR
West Virginia(5/8/2025)
RR
Wisconsin(4/9/2025)
RR
Wyoming(4/14/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 7/17/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
A.G.P. / ALLIANCE GLOBAL PARTNERS
A.G.P / ALLIANCE GLOBAL PARTNERS | VAN PELT & COMPANY | THE A.I.D. GROUP | SHILLIN WEALTH MANAGEMENT | SES GROUP | PINZKER & ASSOCIATES | NTS BEARING | LUNDBLADE FINANCIAL GROUP | LOWELL NEWMAN | KS CAPITAL MANAGEMENT, INC | INTUIT WEALTH MANAGEMENT | EURO PACIFIC CAPITAL, INC. | EPC ADVISORS GROUP, A DIV. OF A.G.P. / ALLIANCE GLOBAL PARTNERS | EPC ADVISORS GROUP | BOATMAN FINANCIAL MANAGEMENT, PLLC | ALLIANCE GLOBAL PLANNING | AGP FINANCIAL DISTRICT | ABC WEALTH MANAGEMENT | A.G.P. / ALLIANCE GLOBAL PARTNERS, LLC | A.G.P. / ALLIANCE GLOBAL PARTNERS OF THE LOWCOUNTRY | A.G.P. / ALLIANCE GLOBAL PARTNERS CORP. | A.G.P. / ALLIANCE GLOBAL PARTNERS | A.G.P. / ALLIANCE GLOBAL | A.G.P.
CRD#: 8361 / SEC#: 801-70276, 8-25132
RIA
Registered Investment Advisory firm - SEC (6/15/2009 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
88 Post Road West 2nd Floor, Westport, CT 06880
Mailing Address
88 Post Road West 2nd Floor, Westport, CT 06880
Phone number
(203) 662-9700
Established
New York since 07/06/2022
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Medium
# of Employees
320
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANCE GLOBAL HOLDINGS, INC. | HOLDING COMPANY | |
| GAMBARDELLA, RAFFAELE | COO/CHIEF RISK OFFICER | 2448073 |
| HIGGINS, THOMAS JOSEPH | PRINCIPAL OPERATIONS OFFICER | 1477505 |
| KLEIN, CRAIG ERIN | CFO, PRINCIPAL FINANCIAL OFFICER | 3253836 |
| LAURIELLO, ANTHONY JOSEPH | MUNICIPAL SECURITIES PRINCIPAL | 1086881 |
| MICHALS, PHILLIP WILLIAM | CHIEF EXECUTIVE OFFICER | 2414124 |
| VENEZIA, JOHN JOSEPH | CHIEF COMPLIANCE OFFICER - BROKER DEALER, RIA | 2737135 |
Regulatory assets under management
| Total Number of Accounts | 6,959 |
| AUM (Assets Under Management) | $ 2,300,125,872 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 3 |
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.
Company Information
A.G.P. / ALLIANCE GLOBAL PARTNERS
CRD#: 8361Boca Raton, FL 33431TRUST BUT VERIFY
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