Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Sutton Miller is a financial professional with over 28 years of experience in the financial services industry. David is currently registered with SP Securities LLC and is a licensed Series 7, Series 24, Series 27, Series 63, and Series 99TO representative. David was previously registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in New York, New York from 1993 to 2002. David is licensed to conduct business in Texas.
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.
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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TX
08/04/2004 - Present
SP Securities LLC (HOUSTON TX)
NY
09/10/1993 - 03/01/2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BC
Issued 05/02/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 24 - General Securities Principal Examination
BC
Issued 05/06/2004
Series 27 - Financial and Operations Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/21/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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