Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dorothy? Claim Your ProfileDorothy Miller is a registered representative with Wells Fargo Clearing Services, LLC. She is a licensed securities professional with over 13 years of experience in the financial services industry. Dorothy has a broad range of experience in providing investment advice and financial planning services to individual and institutional clients. She is also a licensed investment advisor representative in Texas and North Carolina. Dorothy is dedicated to helping her clients achieve their financial goals.
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.
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.
Investment consulting services to institutional clients
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NC
07/23/2013 - Present
Wells Fargo Clearing Services, LLC (CHARLOTTE NC)
UT
04/14/2010 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (SALT LAKE CITY UT)
UT
10/12/2009 - 04/13/2010
E*TRADE SECURITIES LLC (SANDY UT)
UT
07/03/2009 - 08/11/2009
WELLS FARGO INVESTMENTS, LLC (SALT LAKE CITY UT)
BC
Issued 11/05/2009
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/18/2017
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/11/2017
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/01/2009
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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