Harry L. 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.
Harry Lawrence Miller was a registered financial professional .
Harry is a previously registered financial professional and started their career in finance in 1970. Harry had worked at 9 firms and has passed the Series 65, Series 63, Series 16 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
August 21, 2003 - January 3, 2008
TRUIST INVESTMENT SERVICES, INC.
August 21, 2003 - March 13, 2012
TRUIST INVESTMENT SERVICES, INC.
July 27, 2001 - January 25, 2008
TRUIST SECURITIES, INC.
July 27, 2001 - July 3, 2012
TRUIST SECURITIES, INC.
October 19, 1999 - July 30, 2001
CITIGROUP GLOBAL MARKETS INC.
January 13, 1992 - July 27, 2001
THE ROBINSON-HUMPHREY COMPANY, LLC
October 14, 1988 - December 15, 1990
WACHOVIA SECURITIES, INC.
September 19, 1984 - October 14, 1988
JOHNSON, LANE, SPACE, SMITH & CO., INC.
March 1, 1974 - August 13, 1984
UNDERWOOD, NEUHAUS & CO., INCORPORATED
February 1, 1971 - September 12, 1973
DOMIK CORP.
March 12, 1970 - May 14, 1971
DITTMAR & COMPANY, INC.
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: 2/7/1970
Registered Representative ExaminationCurrent Firm
TRUIST INVESTMENT SERVICES, INC.
CRD#: 17499 / SEC#: 801-56443, 8-35355
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRUIST FINANCIAL CORPORATION | HOLDING COMPANY | |
| CALLENDER, EVELYN MICHELLE | TREASURER AND CHIEF FINANCIAL OFFICER | 7591739 |
| CENTENO, PATRICIA REED | DEPUTY CHIEF COMPLIANCE OFFICER | 2239528 |
| COBBS, JENI RACHEL | COMPLIANCE OFFICER | 4354424 |
| CRAM, BRYAN SCOTT | VICE CHAIRMAN/EXECUTIVE VICE PRESIDENT | 2723431 |
| DOWHOWER, BRIAN SEAN | CHAIRMAN/PRESIDENT/CHIEF EXECUTIVE OFFICER | 4202574 |
| DUNN, JEFFREY TODD | DIRECTOR/EXECUTIVE VICE PRESIDENT | 4228631 |
| HECHTLINGER, SUSAN | DIRECTOR/CHIEF COMPLIANCE OFFICER/SENIOR VICE PRESIDENT | 2890466 |
| MAVICO, CECILIA BAUTE | SENIOR VICE CHAIRMAN/CHIEF OPERATING OFFICER/CORPORATE SECRETARY | 3261303 |
| NORMAN, ANNMARIE CARROLL | COMPLIANCE OFFICER | 2993726 |
| TYSON, TONYA | CHIEF OPERATIONS OFFICER/SENIOR VICE PRESIDENT/ASSISTANT CORPORATE SECRETARY | 1987448 |
| WEHINGER, LEAH ROWE | DIRECTOR/EXECUTIVE VICE PRESIDENT | 1719505 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 14 |
| Bond | 2 |
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.
