David R. Miller
Professional summary
David Roger Miller was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
David is a previously registered financial advisor and started their career in finance in 1980. Prior to being barred, David had worked at 7 firms, which includes MUTUAL SECURITIES INC., PIPER SANDLER & CO., BANCAL INVESTMENT SERVICES INC., PRINTON KANE GOVERNMENT SECURITIES INC., DREXEL BURNHAM LAMBERT INCORPORATED, MORGAN OLMSTEAD KENNEDY & GARDNER INCORPORATED, CALIFORNIA MUNICIPAL INVESTORS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 21, 2007 - January 2, 2008
MUTUAL SECURITIES, INC.
May 19, 2005 - March 20, 2007
MUTUAL SECURITIES, INC.
August 7, 2001 - January 2, 2008
MUTUAL SECURITIES, INC.
November 1, 1993 - August 13, 2001
PIPER SANDLER & CO.
May 18, 1988 - November 27, 1993
BANCAL INVESTMENT SERVICES, INC.
October 6, 1986 - February 3, 1988
PRINTON, KANE GOVERNMENT SECURITIES, INC.
November 16, 1983 - April 18, 1984
DREXEL BURNHAM LAMBERT INCORPORATED
July 6, 1982 - October 6, 1983
MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED
October 18, 1980 - July 9, 1982
CALIFORNIA MUNICIPAL INVESTORS, INC.
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
MUTUAL SECURITIES, INC.
CRD#: 13092 / SEC#: 801-68443, 8-28580
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUTUAL GROUP, INC. | CORPORATION | |
| CLAUSSEN, DAWN MARIE | CHIEF OPERATING OFFICER | 5445747 |
| DAMIANI, NICHOLAS ARTHUR | CHIEF ADMINISTRATIVE OFFICER | 5669491 |
| JASPER, AARON T | CHIEF EXECUTIVE OFFICER | 5016734 |
| SABOL, RYAN STEPHEN | MANAGING PRINCIPAL | 4419285 |
| SHANNON, DEBRA DAWN | CHIEF COMPLIANCE OFFICER | 5021297 |
| VOSS, MITCHELL CRAIG | CHAIRMAN | 1029100 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 8 |
Red Flags
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