Darren E. Miller
Professional summary
Darren Edward Miller, who also goes by Darren Edward Miller, Darren E Miller, Darren E. Miller, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Sewickley, Pennsylvania.
Darren is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Darren has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Darren Edward Miller's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Darren Edward Miller's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 2, 2026 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 2100 Georgetown Dr Ste 100, Sewickley, PA 15143January 26, 2026 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 2100 Georgetown Dr Ste 100, Sewickley, PA 15143June 23, 2025 - February 4, 2026
STIFEL, NICOLAUS & COMPANY, INCORPORATED
April 16, 2025 - February 4, 2026
STIFEL, NICOLAUS & COMPANY, INCORPORATED
September 23, 2021 - June 7, 2022
PNC WEALTH MANAGEMENT LLC
September 22, 2021 - June 7, 2022
PNC WEALTH MANAGEMENT LLC
May 17, 2021 - September 20, 2021
EDWARD JONES
May 14, 2021 - September 20, 2021
EDWARD JONES
July 2, 2019 - May 25, 2021
J.P. MORGAN SECURITIES LLC
July 2, 2019 - May 25, 2021
J.P. MORGAN SECURITIES LLC
April 12, 2018 - August 16, 2018
THE HUNTINGTON INVESTMENT COMPANY
April 12, 2018 - August 16, 2018
THE HUNTINGTON INVESTMENT COMPANY
November 25, 2014 - May 9, 2016
PNC CAPITAL MARKETS LLC
June 4, 2009 - November 20, 2014
PNC WEALTH MANAGEMENT LLC
June 2, 2009 - November 20, 2014
PNC WEALTH MANAGEMENT LLC
September 8, 2008 - February 12, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 29, 2008 - February 12, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 11, 2007 - January 4, 2008
FEDERATED SECURITIES CORP.
Primary Firm SEC Registration
PRINCIPAL SECURITIES, INC.
CRD#: 1137 / SEC#: 801-54949, 8-13975
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/27/2026)
(1/27/2026)
(2/2/2026)
Exams
FINRA
Current Firm
PRINCIPAL SECURITIES, INC.
CRD#: 1137 / SEC#: 801-54949, 8-13975
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL FINANCIAL SERVICES, INC. | OWNER | |
| AGRAWAL, VIVEK | DIRECTOR | 8050381 |
| CLAIRE, CHAD THOMAS | CHIEF INFORMATION OFFICER | 7219218 |
| DROGAN, THOMAS JOHN | CHIEF COMPLIANCE OFFICER | 2760482 |
| FRIEDRICH, AMY CHRISTINE | DIRECTOR | 7097797 |
| LAWLER, CODY ANTHONY | HEAD OF SUPERVISION, HEAD OF OPERATIONS | 5162072 |
| MCCULLUM, KENNETH ALLEN | DIRECTOR | 4695257 |
| MURRAY, MICHAEL FRANCIS | PRESIDENT/CHIEF EXECUTIVE OFFICER/CHAIR | 2074275 |
| RANTS, DOUGLAS JOHN | CHIEF INFORMATION SECURITY OFFICER | 7148529 |
| ROBERTS, DAWN MARIE | CHIEF FINANCIAL OFFICER | 7929617 |
| SCHELHAAS, NATHAN PAUL | DIRECTOR | 7275495 |
| SPADAFORA, CRAIG ALAN | SENIOR VICE PRESIDENT / HEAD OF ADVISORY AND PLATFORM | 3184320 |
| VANWINKLE, DANIEL SIMON | PSI AML OFFICER | 4715191 |
Regulatory assets under management
| Total Number of Accounts | 63,730 |
| AUM (Assets Under Management) | $ 14,827,718,110 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/22/2023 |
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.
