Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you D? Claim Your ProfileD Lee Miller is a financial advisor with over 40 years of experience in the financial services industry. Miller is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Previously, Miller was registered with UBS Financial Services Inc., Citigroup Global Markets Inc., Advest, Inc. and others. Miller holds several licenses and certifications, including Series 7, Series 63, Series 65, Series 24, Series 53, and Series 12. Miller is also a trustee of the Saratoga Automobile Museum. Miller specializes in providing financial advice to individuals, businesses, corporations, pension and profit-sharing plans, insurance companies, and charitable organizations.
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
08/10/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SARATOGA SPRINGS NY)
NY
02/16/2007 - 08/20/2012
UBS FINANCIAL SERVICES INC. (ALBANY NY)
NY
12/01/1993 - 02/26/2007
CITIGROUP GLOBAL MARKETS INC. (ALBANY NY)
CT
09/30/1985 - 11/23/1993
ADVEST, INC. (HARTFORD CT)
NA
09/07/1979 - 09/30/1985
BURGESS & LEITH INCORPORATED
NA
01/18/1978 - 10/18/1979
LOEB PARTNERS
NA
05/05/1977 - 01/18/1978
HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED
NA
01/13/1977 - 05/05/1977
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
NA
05/23/1975 - 02/05/1977
LOEB, RHOADES & CO. INC.
NA
08/01/1969 - 06/19/1975
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
IA
Issued 12/02/2017
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/01/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/06/1988
Series 53 - Municipal Securities Principal Examination
BC
Issued 08/02/1986
Series 24 - General Securities Principal Examination
BC
Issued 06/18/1983
Series 12 - NYSE Branch Manager Examination
BC
Issued 06/17/1983
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/01/1979
PC - AMEX Put and Call Exam
BC
Issued 07/29/1969
Series 000 - General Securities Principal Examination
BC
Issued 07/27/1969
Series 1 - Registered 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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