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Gregg Alan Miller

C. L. King & Associates, Inc.

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About Gregg Alan Miller

Gregg Alan Miller is a Registered Representative at C. L. King & Associates, Inc. Gregg has been in the securities industry since February 8, 2001. Gregg's experience in the industry includes a diverse set of licenses and qualifications. The individual advisor profile contains specific details on the exams Gregg has passed and the states in which he is registered.

Firm Information

Gregg Miller is currently registered with C. L. King & Associates, Inc.. C. L. King & Associates, Inc. is a Corporation that was formed on March 3, 1972. The firm is registered with the SEC and in 36 states.

Not reported

Assets Under Management

Not reported

Total Clients

29

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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Gregg Miller’s Registration & Firm History

NY

02/09/2001 - Present

C. L. King & Associates, Inc. (ALBANY NY)

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Licenses & Designations

BC

Issued 10/06/2001

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 14 - Compliance Officer Examination

BC

Issued 12/14/2020

Series 53 - Municipal Securities Principal Examination

BC

Issued 05/26/2020

Series 24 - General Securities Principal Examination

BC

Issued 11/16/2006

Series 4 - Registered Options Principal Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/09/2008

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 06/25/2005

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 02/08/2001

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There is public disclosure for Gregg Alan Miller. Review regulatory record here.
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