Mitchell D. 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.
Mitchell Don Miller, CFP®, who also goes by Mitchell Miller, was a registered financial professional .
Mitchell is a previously registered financial professional and started their career in finance in 1978. Mitchell had worked at 6 firms and has passed the Series 63, Series 15, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 1, 1999 - June 25, 2025
FINANCIAL NETWORK SPECIALISTS LLC
June 23, 1998 - December 3, 1998
SPENCER EDWARDS, INC.
January 3, 1995 - June 18, 1997
DAIN RAUSCHER INCORPORATED
April 10, 1989 - December 31, 1994
RAUSCHER PIERCE REFSNES, INC.
August 10, 1978 - August 16, 1980
E. F. HUTTON & COMPANY INC
May 1, 1978 - April 13, 1989
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
FINANCIAL NETWORK SPECIALISTS LLC
CRD#: 109037 / SEC#: 801-132100
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 15
Date: 1/28/1985
Foreign Currency Options ExaminationSeries 8
Date: 2/29/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FINANCIAL NETWORK SPECIALISTS LLC
CRD#: 109037 / SEC#: 801-132100
Contact information
Regulatory assets under management
| Total Number of Accounts | 120 |
| AUM (Assets Under Management) | $ 115,174,403 |
Red Flags
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