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 20 years of experience in the industry. David is currently registered with Fidelity Brokerage Services LLC. Prior to this, David has held positions at several other firms, including Imperial Capital, LLC, Loop Capital Markets LLC, Rosenblatt Securities Inc., Topeka Capital Markets Inc., B. Riley & Co., LLC, Caris & Company, Inc., SMH Capital Inc., and Sutro & Co. Incorporated. David holds the Series 7, 63, 66, SIE, 86, and 87 securities licenses.
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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CA
08/26/2024 - Present
Fidelity Brokerage Services LLC (LOS ANGELES CA)
CA
04/18/2018 - 08/11/2020
IMPERIAL CAPITAL, LLC (LOS ANGELES CA)
CA
07/08/2016 - 03/15/2018
LOOP CAPITAL MARKETS LLC (LOS ANGELES CA)
NY
06/20/2016 - 06/22/2016
ROSENBLATT SECURITIES INC. (NEW YORK NY)
CA
01/03/2014 - 06/03/2016
TOPEKA CAPITAL MARKETS INC. (Los Angeles CA)
CA
12/18/2012 - 01/03/2014
B. RILEY & CO., LLC (LOS ANGELES CA)
CA
07/09/2008 - 12/14/2012
CARIS & COMPANY, INC. (LOS ANGELES CA)
CA
01/02/2002 - 07/09/2008
SMH CAPITAL INC. (LOS ANGELES CA)
CA
03/22/2000 - 12/31/2001
SUTRO & CO. INCORPORATED (SAN FRANCISCO CA)
BOTH
Issued 06/16/2018
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/15/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/29/2004
Series 86 - Research Analyst Exam - Part I Analysis Module
BC
Issued 08/25/2004
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 03/21/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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