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David Keith Miller

Castleoak Securities, LP

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About David Keith Miller

David Miller is a securities professional with over 30 years of experience in the financial services industry. David is currently registered with Castleoak Securities, LP, a registered broker-dealer, and has been with the firm since June 2022. Prior to joining Castleoak Securities, LP, David held positions at Mizuho Securities USA LLC, Refco Securities, LLC, Mitsubishi Securities (USA), Inc., Gemini Financial Corporation, Chemical Securities, Inc., and Manufacturers Hanover Securities Corporation. David has a Series 7, Series 52TO and SIE license as well as a Series 63 license.

Firm Information

David Miller is currently registered with Castleoak Securities, LP. Castleoak Securities, LP is a Partnership formed in July 2004. It is registered with the SEC and is approved in all 50 states.

Not reported

Assets Under Management

Not reported

Total Clients

21

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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David Miller’s Registration & Firm History

NY

06/01/2022 - Present

Castleoak Securities, LP (NEW YORK NY)

NY

03/06/2006 - 05/18/2022

MIZUHO SECURITIES USA LLC (NEW YORK NY)

NY

01/29/2004 - 11/30/2005

REFCO SECURITIES, LLC (NEW YORK NY)

NY

09/28/1998 - 01/13/2004

MITSUBISHI SECURITIES (USA), INC. (NEW YORK NY)

NY

02/23/1995 - 09/18/1998

GEMINI FINANCIAL CORPORATION (NEW YORK NY)

NY

01/01/1992 - 02/26/1993

CHEMICAL SECURITIES, INC. (NEW YORK NY)

NA

05/15/1987 - 01/01/1992

MANUFACTURERS HANOVER SECURITIES CORPORATION

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Licenses & Designations

BC

Issued 06/03/1987

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/17/1987

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for David Keith Miller.
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