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David Scott Miller

Maxim Group LLC

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About David Scott Miller

David Miller is a financial professional with over 25 years of experience in the industry. David has a strong background in securities trading, operations, and supervision. David is currently registered with Maxim Group LLC and holds a Series 7, Series 10, Series 24, Series 57TO, Series 99TO, and SIE licenses. David has previously been employed by Wells Fargo Securities, LLC, Wells Fargo Prime Services, LLC, Goldman Sachs Execution & Clearing, L.P., and Goldman, Sachs & Co.

Firm Information

David Miller is currently registered with Maxim Group LLC. Maxim Group LLC is a Limited Liability Company formed in April 2002 and is registered to conduct business in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has been approved for one SEC registration and 53 state registrations.

Not reported

Assets Under Management

Not reported

Total Clients

70

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

12/02/2019 - Present

Maxim Group LLC (NEW YORK NY)

NY

04/21/2016 - 10/22/2019

WELLS FARGO SECURITIES, LLC (NEW YORK NY)

NY

05/06/2010 - 10/22/2019

WELLS FARGO PRIME SERVICES, LLC (New York NY)

PA

05/23/2003 - 12/16/2009

GOLDMAN SACHS EXECUTION & CLEARING, L.P. (PHILADELPHIA PA)

NY

11/26/1996 - 08/19/2009

GOLDMAN, SACHS & CO. (NEW YORK NY)

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Licenses & Designations

BC

Issued 07/28/2003

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/28/2022

Series 24 - General Securities Principal Examination

BC

Issued 01/28/2005

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 12/03/2004

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/22/1996

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

NYSE Arca, Inc.

N

Nasdaq Stock Market

Disclosures

There is public disclosure for David Scott Miller. Review regulatory record here.
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