Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Miller is a financial advisor with over 30 years of experience in the industry. David is currently registered with RBC Capital Markets, LLC and holds a Series 7, Series 6, Series 31, and Series 63 licenses. David has also passed the SIE and Series 65 exams. David has a strong track record of providing financial advice to individuals, families, and businesses. Prior to joining RBC Capital Markets, David worked with Citigroup Global Markets Inc and Dean Witter Reynolds Inc.
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.
Comprehensive financial plans to help you achieve your personal and business 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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
TX
05/04/2009 - Present
RBC Capital Markets, LLC (HOUSTON TX)
TX
03/17/1995 - 04/23/2009
CITIGROUP GLOBAL MARKETS INC. (HOUSTON TX)
NY
07/28/1988 - 03/27/1995
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NA
06/24/1987 - 08/06/1988
SMA EQUITIES, INC.
IA
Issued 01/28/2011
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/21/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/07/1994
Series 31 - Futures Managed Funds Examination
BC
Issued 09/17/1988
Series 7 - General Securities Representative Examination
BC
Issued 06/23/1987
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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