Daniel A. 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.
Daniel Alan Miller was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 2000. Daniel had worked at 6 firms and has passed the Series 63, Series 56, Series 55 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
February 13, 2012 - August 29, 2013
WTS PROPRIETARY TRADING GROUP LLC
March 3, 2003 - April 21, 2004
FIS BROKERAGE & SECURITIES SERVICES LLC
September 10, 2002 - March 3, 2003
RUMSON CAPITAL, LLC
October 24, 2000 - May 18, 2001
MARKET WISE SECURITIES, LLC
May 31, 2000 - March 6, 2001
IDS LIFE INSURANCE COMPANY
May 31, 2000 - March 6, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 56
Date: 2/10/2012
Proprietary Trader Qualification ExaminationSeries 55
Date: 11/3/2000
Limited Representative-Equity Trader ExamCurrent Firm
WTS PROPRIETARY TRADING GROUP LLC
CRD#: 148117 / SEC#: , 8-67986
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
Red Flags
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