Donald J. 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.
Donald John Miller was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1962. Donald had worked at 4 firms and has passed the Series 63, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 13, 1990 - July 31, 1990
FREDERICK & COMPANY, INC.
May 7, 1980 - January 4, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 1, 1974 - November 30, 1983
CITIGROUP GLOBAL MARKETS INC.
November 8, 1962 - August 24, 1974
THE MILWAUKEE 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
Exams
PC
Date: 5/6/1980
AMEX Put and Call ExamSeries 1
Date: 10/31/1962
Registered Representative ExaminationCurrent Firm
FREDERICK & COMPANY, INC.
CRD#: 333 / SEC#: , 8-8570
Contact information
Documents
Disclosures
| Regulatory Event | 15 |
| Bond | 1 |
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.
