Michael E. Miller
Professional summary
Michael Edward Miller, who also goes by Michael E Miller, is a registered financial professional currently at ADP BROKER-DEALER, INC. located in Allentown, Pennsylvania.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1997. Michael has worked at 10 firms and has passed the Series 63, Series 66, SIE, Series 31, Series 7, Series 26, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael Edward Miller's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 17, 2021 - Present
ADP BROKER-DEALER, INC.
Office #1: 740 Hamilton Blvd., Allentown, PA 18101March 20, 2019 - March 31, 2021
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
March 25, 2017 - December 31, 2018
MML INVESTORS SERVICES, LLC
March 24, 2017 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
October 5, 2010 - February 19, 2015
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
January 8, 2008 - September 18, 2009
GLOBAL ATLANTIC DISTRIBUTORS, LLC
March 2, 2007 - October 4, 2007
TRUIST INVESTMENT SERVICES, INC.
March 2, 2007 - October 4, 2007
TRUIST INVESTMENT SERVICES, INC.
November 1, 2002 - December 19, 2006
WELLS FARGO CLEARING SERVICES, LLC
November 1, 2002 - December 19, 2006
WELLS FARGO CLEARING SERVICES, LLC
December 31, 2001 - November 25, 2002
LEGG MASON WOOD WALKER, INCORPORATED
January 21, 2000 - November 25, 2002
LEGG MASON WOOD WALKER, INCORPORATED
October 17, 1997 - March 1, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/24/2021)
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(5/6/2024)
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(2/10/2022)
(6/21/2021)
(6/23/2021)
Exams
FINRA
Current Firm
ADP BROKER-DEALER, INC.
CRD#: 37693 / SEC#: , 8-47885
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADP ATLANTIC, LLC | SHAREHOLDER | |
| BARRENECHEA, PATRICIA MARGOT | FINOP | 1715189 |
| BLAKE, JAMES PATRICK | PRESIDENT, DIRECTOR | 3078844 |
| BOYLE, JAMES RICHARD | AML OFFICER | 3137180 |
| DOSPASSOS-KRIEG, KRISTIN ANNE | DIRECTOR | 3079254 |
| HANLEY, JUANITA DAVIDA | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT | 5217439 |
| HODGES, JEFFRY AARON | DIRECTOR | 5865575 |
| HUREAU, MICHAEL RAY | DIRECTOR | 5990787 |
| MCCUE, TERRANCE | RISK MANAGEMENT OFFICER | 7259942 |
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
ADP BROKER-DEALER, INC.
CRD#: 37693Allentown, PA 18101TRUST BUT VERIFY
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