Gregory P. 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.
Gregory Paul Miller, who also goes by Gregory P Miller, was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 2000. Gregory had worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 26, 2022 - September 25, 2024
PRINCIPAL FUNDS DISTRIBUTOR, INC.
May 6, 2021 - April 11, 2022
COREBRIDGE CAPITAL SERVICES, INC.
January 25, 2018 - May 14, 2019
IMST DISTRIBUTORS, LLC
November 3, 2014 - March 1, 2016
FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.
December 10, 2007 - October 21, 2014
PACIFIC SELECT DISTRIBUTORS, LLC
December 17, 2004 - February 14, 2008
WELLS FARGO CLEARING SERVICES, LLC
December 17, 2004 - February 14, 2008
WELLS FARGO CLEARING SERVICES, LLC
March 7, 2003 - November 10, 2003
METLIFE INVESTORS DISTRIBUTION COMPANY
October 6, 2002 - March 7, 2003
JOHN HANCOCK DISTRIBUTORS LLC
September 25, 2002 - March 7, 2003
JOHN HANCOCK DISTRIBUTORS LLC
July 19, 2001 - June 11, 2002
GLOBAL ATLANTIC DISTRIBUTORS, LLC
June 6, 2000 - July 24, 2001
WELLS FARGO CLEARING SERVICES, LLC
January 13, 2000 - March 23, 2000
WELLS FARGO CLEARING SERVICES, LLC
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
Current Firm
PRINCIPAL FUNDS DISTRIBUTOR, INC.
CRD#: 43261 / SEC#: , 8-50200
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLC | OWNER | |
| BERG, JOHN THOMAS | DIRECTOR | 7973551 |
| CLINES, SEAN THOMAS | CHIEF FINANCIAL OFFICER | 3055601 |
| DESSOUKI, RAMONA HIATT | CHIEF MARKETING OFFICER | 7812577 |
| HILL, TIMOTHY ALLEN | NATIONAL SALES MANAGER/DIRECTOR | 2317289 |
| HOESKE, DINA ROMEO | SENIOR DIRECTOR - FUND SHAREHOLDER SERVICES | 2704646 |
| MURRAY, MICHAEL FRANCIS | DIRECTOR | 2074275 |
| SCHOLTEN, MICHAEL JOSEPH | PRINCIPAL OPERATIONS OFFICER | 6388259 |
| STOCKMAN, MICHELLE RENEE | CHIEF COMPLIANCE OFFICER | 5010490 |
| WONG, BRANT K | PRESIDENT/DIRECTOR (CHAIRMAN) | 5093714 |
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.
