Lawrence Benjamin Miller
Professional Summary
Lawrence Benjamin Miller, who also goes by Larry Miller, is a registered financial advisor currently at EMERSON EQUITY LLC located in San Mateo, California. Lawrence is registered as a RR (Registered Representative) and started their career in finance in 1972. Lawrence has worked at 14 firms and has passed the SIE and Series 1 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Larry Miller
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
54 years in the financial services industry
Current & Past Employments
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Current Firm
DIAMOND MOUNTAIN FINANCIAL | EMERSON EQUITY LLC
Contact Information
Main Address
155 Bovet Road, Suite 725, San Mateo, CA 94402Mailing Address
155 Bovet Road, Suite 725, San Mateo, CA 94402Phone Number
(650) 312-0200Established
California since 10/10/2003Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Medium# of Employees
343SEC notice filing (34 States and Territories)
Registered to provide investment advisory services in 34 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 34 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
682AUM (Assets Under Management)
$321,704,653Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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Primary Firm SEC Registration
DIAMOND MOUNTAIN FINANCIAL | EMERSON EQUITY LLC
State Registrations and Notice Filings
(10/12/2016)
(9/6/2017)
(5/17/2019)
(9/15/2017)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 1 — Registered Representative Examination
Passed Oct 1972SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Lawrence Benjamin Miller's CRS (Customer Relationship Summary).
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