Daniel W. 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.
Daniel William Miller, who also goes by Daniel W Miller, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1977. Daniel had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 5, Series 53, Series 8, Series 4, Series 12 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 9, 2006 - April 2, 2020
COMMERCE BROKERAGE SERVICES, INC.
January 10, 1992 - April 2, 2020
COMMERCE BROKERAGE SERVICES, INC.
December 23, 1987 - February 18, 1988
MIDAS SECURITIES GROUP, INC.
September 11, 1984 - June 1, 1988
BULL & BEAR SECURITIES, INC.
June 8, 1981 - September 25, 1984
THOMSON MCKINNON SECURITIES INC.
July 11, 1980 - January 15, 1982
REGAL SECURITIES BROKERAGE, INC.
November 9, 1978 - August 8, 1980
EDWARD JONES
September 26, 1978 - November 25, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 5, 1977 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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: 7/9/1982
Interest Rate Options ExaminationSeries 8
Date: 9/30/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Series 12
Date: 1/13/1979
NYSE Branch Manager ExaminationSeries 40
Date: 12/9/1978
Registered Principal ExaminationCurrent Firm
COMMERCE BROKERAGE SERVICES, INC.
CRD#: 17140 / SEC#: 801-66509, 8-35096
Contact information
FINRA licenses (46 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMMERCE BANK | SOLE STOCKHOLDER | |
| CHMELKA, JOHN EMIL | PRINCIPAL OPERATIONS OFFICER | 2052962 |
| HARMON, THOMAS DARIN | PRESIDENT/CHIEF EXECUTIVE OFFICER | 7787415 |
| MOWER, MATHEW ROBERT | SENIOR VICE PRESIDENT | 3176197 |
| REECE, JOSEPH STEVEN | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | 2227282 |
| ROWE, MARGARET | CORPORATE SECRETARY | 7576973 |
| SIMPSON, TIFFANY LYNN | TREASURER/CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER | 6685507 |
| SWANSON, ERIK ANDREW | EXECUTIVE VICE PRESIDENT | 4170204 |
Regulatory assets under management
| Total Number of Accounts | 3,570 |
| AUM (Assets Under Management) | $ 650,363,405 |
Disclosures
| Regulatory Event | 5 |
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.
