Laurel 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.
Laurel Loraine Miller, who also goes by Laurel Lorain Miller, Laurel Lorrain Miller, was a registered financial professional .
Laurel is a previously registered financial professional and started their career in finance in 1970. Laurel had worked at 6 firms and has passed the Series 63, Series 7, 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
April 2, 2004 - June 22, 2009
SOUTHWEST TEXAS CAPITAL, L.L.C
July 9, 1996 - April 7, 2004
RIVERSTONE WEALTH MANAGEMENT, INC.
October 17, 1991 - June 11, 1996
DALLAS RESEARCH & TRADING, INC.
April 7, 1977 - November 25, 1991
DALLAS SECURITIES INVESTMENT CORPORATION
December 13, 1972 - May 18, 1977
INSTITUTIONAL EQUITY CORPORATION
November 11, 1970 - July 18, 1973
CLARK & CLARK SECURITIES INC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 12/13/1956
Registered Representative ExaminationSeries 00
Date: 6/10/1971
General Securities Principal ExaminationCurrent Firm
SOUTHWEST TEXAS CAPITAL, L.L.C
CRD#: 104200 / SEC#: , 8-52670
Contact information
Documents
Disclosures
| Regulatory Event | 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.
