Dale E. 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.
Dale Eugene Miller, who also goes by Dale E Miller, Dale Eugene Miller Jr, was a registered financial professional .
Dale is a previously registered financial professional and started their career in finance in 1999. Dale had worked at 8 firms and has passed the Series 63, Series 6TO, SIE 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
June 15, 2019 - March 22, 2021
LOCKTON INVESTMENT SECURITIES, LLC
September 3, 2013 - June 20, 2017
CETERA WEALTH SERVICES, LLC
August 26, 2005 - September 3, 2013
WALNUT STREET SECURITIES, INC.
January 3, 2005 - August 15, 2005
NEXT FINANCIAL GROUP, INC.
April 17, 2002 - September 29, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 10, 2001 - March 19, 2002
MML INVESTORS SERVICES, LLC
January 27, 1999 - July 6, 2001
ROBERT W. BAIRD & CO. INCORPORATED
January 27, 1999 - July 6, 2001
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
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 6TO
Date: 2/28/2024
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
LOCKTON INVESTMENT SECURITIES, LLC
CRD#: 137476 / SEC#: , 8-67090
Contact information
FINRA licenses (52 States and Territories)
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.
