Troy D. 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.
Troy Douglas Miller, who also goes by Troy D Miller, was a registered financial professional .
Troy is a previously registered financial professional and started their career in finance in 1999. Troy had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 7, 2022 - September 3, 2024
AQUILA DISTRIBUTORS LLC
June 11, 2020 - March 3, 2021
FIDELITY PERSONAL AND WORKPLACE ADVISORS
May 23, 2020 - March 3, 2021
FIDELITY BROKERAGE SERVICES LLC
October 18, 2019 - November 6, 2019
ROBERT W. BAIRD & CO. INCORPORATED
March 29, 2010 - October 18, 2019
J.J.B. HILLIARD, W.L. LYONS, LLC
April 11, 2000 - September 22, 2008
TOUCHSTONE SECURITIES, INC.
September 27, 1999 - April 11, 2000
ARM SECURITIES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
AQUILA DISTRIBUTORS LLC
CRD#: 1706 / SEC#: , 8-13173
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AQUILA MANAGEMENT CORPORATION | SHAREHOLDER | |
| DIMAGGIO, JOSEPH PAUL | TREASURER | 1359940 |
| FILLMORE, RANDALL SCOTT | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 4188259 |
| HERRMANN, CONRAD BEADLE | MANAGER | 1370319 |
| HERRMANN, DIANA PARSONS | MANAGER | 2913698 |
| OBRIEN, PAUL GREGORY | PRESIDENT, FINANCIAL OPERATIONS PRINCIPAL & OPERATIONS PROFESSIONAL | 3129605 |
| ROSE, PAMELA CAROLINE MS. | SECRETARY | 1559550 |
| SARKANY, THOMAS THOMAS | MANAGER | 1024285 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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