David K. Miller
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
David Keith Miller, who also goes by Daave Miller, Dave Miller, was a registered financial advisor .
David is a previously registered financial advisor and started their career in finance in 1981. David had worked at 14 firms and has passed the Series 65, Series 63, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 30, 2007 - September 30, 2014
RESOURCE HORIZONS INVESTMENT ADVISORY, INC.
July 19, 2001 - December 31, 2007
RESOURCE HORIZONS GROUP LLC
March 2, 2001 - September 30, 2014
RESOURCE HORIZONS GROUP LLC
October 27, 1997 - March 13, 2001
CENTENNIAL CAPITAL MANAGEMENT, INC.
September 8, 1992 - August 19, 1998
CANADA LIFE OF AMERICA FINANCIAL SERVICES, INC.
July 7, 1992 - October 17, 1997
CADARET, GRANT & CO., INC.
January 14, 1992 - July 7, 1992
NORTH AMERICAN FINANCIAL GROUP, INC.
June 3, 1991 - December 26, 1991
KEOGLER, MORGAN & COMPANY, INC.
September 10, 1990 - May 23, 1991
INVESTACORP, INC.
January 27, 1989 - September 13, 1990
RAYMOND JAMES & ASSOCIATES, INC.
October 14, 1988 - February 3, 1989
WACHOVIA SECURITIES, INC.
February 20, 1986 - October 14, 1988
JOHNSON, LANE, SPACE, SMITH & CO., INC.
September 6, 1984 - February 26, 1986
WACHOVIA SECURITIES, INC.
January 9, 1984 - August 31, 1984
ALEX. BROWN & SONS INCORPORATED
March 4, 1982 - November 28, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 13, 1981 - January 3, 1982
THOMSON MCKINNON SECURITIES 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
RESOURCE HORIZONS INVESTMENT ADVISORY, INC.
CRD#: 143384 / SEC#: 801-68068
Contact information
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.
