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GM

Gregg A. Miller

PARADIGM CAPITAL MANAGEMENT
ALBANY, NY 12207
Some features on this profile are disabled
CRD#: 4163500
GM

Professional summary

Gregg Alan Miller is a registered financial advisor currently at PARADIGM CAPITAL MANAGEMENT, INC. located in Albany, New York and C. L. KING & ASSOCIATES, INC. located in Albany, New York.

Gregg is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Gregg has worked at 2 firms and has passed the Series 65, Series 63, Series 52TO, Series 57TO, Series 79TO, Series 99TO, SIE, Series 87, Series 55, Series 7, Series 14, Series 53, Series 24 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gregg Alan Miller's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

September 25, 2025 - Present

PARADIGM CAPITAL MANAGEMENT, INC.

Office #1: Nine Elk Street, Albany, NY 12207
RIA
CRD#: 107982
ALBANY, NY
Current

February 9, 2001 - Present

C. L. KING & ASSOCIATES, INC.

Office #1: Nine Elk Street, Albany, NY 12207
BD
CRD#: 6183
ALBANY, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
PC
PARADIGM CAPITAL MANAGEMENT, INC.
N/A | PARADIGM CAPITAL MGMT.INC | PARADIGM CAPITAL MANAGEMENT, INC.

CRD#: 107982 / SEC#: 801-47403

RIA
Registered Investment Advisory firm - (9/22/1994 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(10/8/2001)
IAR
New York
(9/25/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 9/22/2025
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/6/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 87
Date: 12/9/2008
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 55
Date: 6/25/2005
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 2/8/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 53
Date: 12/14/2020
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/26/2020
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 11/16/2006
Registered Options Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

PC
PARADIGM CAPITAL MANAGEMENT, INC.
N/A | PARADIGM CAPITAL MGMT.INC | PARADIGM CAPITAL MANAGEMENT, INC.

CRD#: 107982 / SEC#: 801-47403

RIA
Registered Investment Advisory firm - (9/22/1994 Approved)
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Contact information

Main Address
Nine Elk Street, Albany, NY 12207
Mailing Address
Phone number
(518) 431-3500
Established
Firm type
Fiscal year end
# of Employees
12

SEC notice filing (13 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (7/1/2025)

Regulatory assets under management

Total Number of Accounts74
AUM (Assets Under Management)$ 2,204,189,405

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.

Company Information

PARADIGM CAPITAL MANAGEMENT, INC.

CRD#: 107982Albany, NY 12207

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