Douglas H. 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.
Douglas Howard Miller, who also goes by Doug Miller, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1970. Douglas had worked at 9 firms and has passed the Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 9, 1997 - January 3, 2000
NETHERLAND SECURITIES, INC.
April 19, 1994 - December 31, 1996
BRAZOS SECURITIES, INC.
July 11, 1988 - September 11, 1993
T.L. GROUP, INC.
October 21, 1986 - February 5, 1991
PRIVATE BROKERS CORPORATION
November 5, 1984 - November 3, 1986
DAVID ELLIS INVESTMENTS, INC.
June 23, 1983 - April 26, 1984
J.P. MORGAN SECURITIES LLC
November 9, 1981 - March 28, 1983
INSTITUTIONAL EQUITY CORPORATION
June 1, 1978 - September 30, 1981
PRINCIPAL FINANCIAL SECURITIES,INC.
November 30, 1972 - June 15, 1978
INSTITUTIONAL EQUITY CORPORATION
August 12, 1970 - January 19, 1973
CLARK & CLARK SECURITIES CORP
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 1
Date: 3/4/1970
Registered Representative ExaminationSeries 00
Date: 11/5/1970
General Securities Principal ExaminationCurrent Firm
NETHERLAND SECURITIES, INC.
CRD#: 42629 / SEC#: , 8-49913
Contact information
Red Flags
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