DM
Daniel C. Miles
FRANKLIN DISTRIBUTORS
Boston, MA 02110
Some features on this profile are disabled
CRD#: 5697567
DM
Professional summary
Daniel Christopher Miles, who also goes by Dan Miles, is a registered financial professional currently at FRANKLIN DISTRIBUTORS, LLC located in Boston, Massachusetts.
Daniel is registered as a RR (Registered Representative) and started their career in finance in 2009. Daniel has worked at 6 firms and has passed the Series 63, Series 65, Series 66, Series 7TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Dan Miles
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.
CRS (Client Relationship Summary) - BD
Click below to view Daniel Christopher Miles's 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®
NoneExperience
Current
January 30, 2023 - Present
FRANKLIN DISTRIBUTORS, LLC
Office #1: 100 Federal Street, Boston, MA 02110BD
CRD#: 109064
Boston, MA
Past
December 21, 2018 - November 7, 2022
FISHER INVESTMENTS
RIA
CRD#: 107342
TAMPA, FL
Past
May 26, 2016 - May 31, 2018
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
EDISON, NJ
Past
February 14, 2011 - August 21, 2015
PIMCO INVESTMENTS LLC
BD
CRD#: 154957
NEW YORK, NY
Past
January 21, 2011 - February 14, 2011
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
BD
CRD#: 25567
NEW YORK, NY
Past
November 4, 2009 - January 12, 2011
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
PHOENIX, AZ
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Alabama(3/14/2023)
RR
Alaska(3/14/2023)
RR
Arizona(3/14/2023)
RR
Arkansas(3/14/2023)
RR
California(3/14/2023)
RR
Colorado(3/14/2023)
RR
Connecticut(3/14/2023)
RR
Delaware(3/14/2023)
RR
District of Columbia(3/14/2023)
RR
Florida(3/14/2023)
RR
Georgia(3/14/2023)
RR
Hawaii(3/14/2023)
RR
Idaho(3/14/2023)
RR
Illinois(3/14/2023)
RR
Indiana(3/14/2023)
RR
Iowa(3/14/2023)
RR
Kansas(3/14/2023)
RR
Kentucky(3/14/2023)
RR
Louisiana(3/14/2023)
RR
Maine(3/14/2023)
RR
Maryland(3/14/2023)
RR
Massachusetts(3/14/2023)
RR
Michigan(3/14/2023)
RR
Minnesota(3/14/2023)
RR
Mississippi(3/14/2023)
RR
Missouri(3/14/2023)
RR
Montana(3/14/2023)
RR
Nebraska(3/14/2023)
RR
Nevada(3/14/2023)
RR
New Hampshire(3/14/2023)
RR
New Jersey(3/14/2023)
RR
New Mexico(3/14/2023)
RR
New York(3/14/2023)
RR
North Carolina(3/14/2023)
RR
North Dakota(3/14/2023)
RR
Ohio(3/14/2023)
RR
Oklahoma(3/14/2023)
RR
Oregon(3/14/2023)
RR
Pennsylvania(3/14/2023)
RR
Puerto Rico(1/24/2024)
RR
Rhode Island(3/14/2023)
RR
South Carolina(3/14/2023)
RR
South Dakota(3/14/2023)
RR
Tennessee(3/14/2023)
RR
Texas(3/14/2023)
RR
Utah(3/14/2023)
RR
Vermont(3/14/2023)
RR
Virgin Islands(1/25/2024)
RR
Virginia(3/14/2023)
RR
Washington(3/14/2023)
RR
West Virginia(3/14/2023)
RR
Wisconsin(3/14/2023)
RR
Wyoming(3/14/2023)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/28/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FD
FRANKLIN DISTRIBUTORS, LLC
FRANKLIN DISTRIBUTORS, LLC | UNIFIED DISTRIBUTORS LLC | LEGG MASON INVESTORS SERVICES, LLC | LEGG MASON INVESTOR SERVICES, LLC | LATINVALLEY SECURITIES LLC
CRD#: 109064 / SEC#: , 8-53089
BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
One Franklin Parkway, San Mateo, CA 94403
Mailing Address
1201 Wills Street, Baltimore, MD 21231
Phone number
(800) 632-2350
Established
Delaware since 12/01/2000
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
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
FRANKLIN DISTRIBUTORS, LLC
CRD#: 109064Boston, MA 02110TRUST BUT VERIFY
Monitor Daniel Miles
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
