Lawrence J. 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.
Lawrence James Miller MR, who also goes by Larry Miller, Lawrence James Miller, was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1974. Lawrence had worked at 9 firms and has passed the Series 65, Series 63, Series 5, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 8, 2000 - December 31, 2023
PRUDEO PARTNERS, LLC
August 7, 1987 - May 4, 1998
WACHOVIA BROKERAGE SERVICE
May 1, 1987 - July 27, 1987
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 29, 1986 - May 1, 1987
NCNB SC SECURITIES, INC.
January 21, 1981 - May 10, 1982
MORGAN STANLEY DW INC.
September 26, 1978 - March 12, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 8, 1978 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
December 19, 1974 - September 18, 1977
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
December 19, 1974 - September 18, 1977
OSAIC FA, 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
Series 5
Date: 12/12/1981
Interest Rate Options ExaminationSeries 1
Date: 12/16/1974
Registered Representative ExaminationCurrent Firm
PRUDEO PARTNERS, LLC
CRD#: 113961 / SEC#: 801-60743
Contact information
Regulatory assets under management
| Total Number of Accounts | 1,473 |
| AUM (Assets Under Management) | $ 412,851,952 |
Red Flags
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