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JM

Joseph B. Miller

PAULSON INVESTMENT COMPANY LLC
St. Petersburg, FL 33701
Some features on this profile are disabled
CRD#: 7198046
JM

Professional summary

Joseph Bernard Miller, who also goes by Joseph B Miller, is a registered financial professional currently at PAULSON INVESTMENT COMPANY LLC located in St. Petersburg, Florida.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 2020. Joseph has worked at 4 firms and has passed the Series 66, Series 63, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Joseph B Miller

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.
*549348- 310cean; Investment related -No; Tampa, Florida; Retail/Online Stores; Officer (proprietor, partner, officer, director, employee, trustee, agent); 10/2022; During business hours: 0; After business hours: 3; Business Development/Growth, Customer Service, Administrative, Labor/Service, Sales/Marketing

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joseph Bernard Miller's CRS (Customer Relationship Summary).
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®
None

Experience

Current

December 17, 2024 - Present

PAULSON INVESTMENT COMPANY LLC

Office #1: 150 Second Ave. N. Suite 1550, St. Petersburg, FL 33701
BD
CRD#: 5670
St. Petersburg, FL
Past

May 23, 2024 - October 22, 2024

PAULSON INVESTMENT ADVISORS, LLC

RIA
CRD#: 304328
St. Petersburg, FL
Past

February 15, 2024 - October 22, 2024

PAULSON INVESTMENT COMPANY LLC

BD
CRD#: 5670
St. Petersburg, FL
Past

July 20, 2023 - January 30, 2024

MORGAN STANLEY

RIA
CRD#: 149777
Tampa, FL
Past

April 24, 2023 - January 30, 2024

MORGAN STANLEY

BD
CRD#: 149777
Tampa, FL
Past

March 9, 2020 - December 20, 2021

NORTH CAPITAL PRIVATE SECURITIES CORPORATION

BD
CRD#: 154559
Costa Mesa, CA

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
(1/2/2025)
RR
California
(1/2/2025)
RR
Colorado
(2/26/2025)
RR
Florida
(12/17/2024)
RR
Illinois
(1/6/2025)
RR
Michigan
(1/2/2025)
RR
New Hampshire
(4/4/2025)
RR
New Jersey
(1/2/2025)
RR
New York
(1/2/2025)
RR
Ohio
(2/19/2025)
RR
Texas
(1/3/2025)
RR
Virginia
(4/23/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/11/2023
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 12/5/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 12/15/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/9/2019
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

PI
PAULSON INVESTMENT COMPANY LLC
PAULSON INVESTMENT COMPANY LLC | PAULSON WEALTH ADVISORS | PAULSON INVESTMENT COMPANY, LLC | PAULSON INVESTMENT COMPANY, INC.

CRD#: 5670 / SEC#: 801-107194, 8-26807

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
10220 Sw Greenburg Rd Suite 465, Lake Oswego, OR 97035
Mailing Address
10220 Sw Greenburg Rd Suite 380, Portland, OR 97223
Phone number
(503) 243-6000
Established
Delaware since 03/23/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
PAULSON CAPITAL HOLDING COMPANY, LLCOWNER
CLARK, CHRISTOPHER STEVENCHAIRMAN, ELECTED MANAGER1952666
PARIGIAN, THOMAS STEWARTELECTED MANAGER1398840
SETTEDUCATI, ROBERT JOSEPHELECTED MANAGER AND DIRECTOR OF BUSINESS DEVELOPMENT1352722
DAVIS, TRENT DONALDCHIEF EXECUTIVE OFFICER2137171
RASMUSSEN, KATHLEEN HATLELICHIEF COMPLIANCE OFFICER2608755
WINKS, MALCOLM ALEXANDERPRESIDENT AND CFO/FINOP5153752

Disclosures

Regulatory Event35
Civil Event1
Arbitration8
Bond1

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

PAULSON INVESTMENT COMPANY LLC

CRD#: 5670St. Petersburg, FL 33701

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