Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Curtis? Claim Your ProfileCurtis Charles Miller is a financial advisor registered with Merrill Lynch, Pierce, Fenner & Smith Inc., and has been in the industry since 1985. Curtis Miller has experience with a wide range of financial products and services, including stocks, bonds, mutual funds, and options. Curtis Miller holds the Series 7, 31, and 63 licenses, as well as the SIE and Series 65 exams. Curtis Miller is also registered as an investment advisor representative in New York, New Jersey and Texas. Previously, Curtis Miller worked for Morgan Stanley Smith Barney, Morgan Stanley & Co. Incorporated, Morgan Stanley DW Inc., First Albany Corporation, Prudential Securities Incorporated, PaineWebber Incorporated, Great Lakes Equities Co., and Michael C. Talley & Co., Inc. Curtis Charles Miller specializes in providing financial advice to high-net-worth individuals, corporations, and institutions.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NY
12/16/2010 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (ALBANY NY)
NY
06/01/2009 - 12/17/2010
MORGAN STANLEY SMITH BARNEY (ALBANY NY)
NY
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (ALBANY NY)
NY
06/09/2000 - 04/02/2007
MORGAN STANLEY DW INC. (ALBANY NY)
NY
10/07/1996 - 07/06/2000
FIRST ALBANY CORPORATION (NEW YORK NY)
NY
04/02/1991 - 09/13/1996
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NJ
05/18/1987 - 03/22/1991
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NA
02/18/1987 - 07/22/1987
GREAT LAKES EQUITIES CO.
NA
09/30/1985 - 03/02/1987
MICHAEL C. TALLEY & CO., INC.
IA
Issued 03/01/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/02/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/31/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 09/21/1985
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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