John P. Miller
Professional summary
John Patrick Miller is a registered financial professional currently at TD SECURITIES (USA) LLC located in Washington, District Of Columbia.
John is registered as a RR (Registered Representative) and started their career in finance in 2021. John has worked at 2 firms and has passed the Series 63, Series 7TO, SIE and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John Patrick Miller's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 8, 2024 - Present
TD SECURITIES (USA) LLC
Office #1: 3000 K Street Nw Washington Harbour, Washington, DC 20007October 15, 2021 - April 11, 2024
COWEN AND COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/8/2024)
(11/1/2024)
Exams
Series 7TO
Date: 10/15/2021
General Securities Representative ExaminationFINRA
Nasdaq Stock Market
Current Firm
TD SECURITIES (USA) LLC
CRD#: 18476 / SEC#: , 8-36747
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TORONTO DOMINION HOLDINGS (U.S.A.), INC. | PARENT | |
| BROADBERY, MICHAEL | CHIEF COMPLIANCE OFFICER | 6947899 |
| GIBSON, GLENN | CHIEF EXECUTIVE OFFICER | 5659024 |
| JENKINS, CHRISTINE J | FINANCIAL & OPERATIONS PRINCIPAL | 4911933 |
| ORTIZ, JORGE LUIS | CHIEF FINANCIAL OFFICER | 2725922 |
| PETROU, CHRISTINA A | CHIEF OPERATING OFFICER | 4007468 |
Disclosures
| Regulatory Event | 20 |
| Criminal | 1 |
Red Flags
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