Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Karla? Claim Your ProfileKarla Sue Miller is a registered investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Incorporated. Karla has been in the securities industry since 1989 and is licensed in Connecticut and New Jersey. Previously, Karla was employed with ASH & CO. INCORPORATED, AIMCO SECURITIES COMPANY, INC., SCHONFELD SECURITIES INC., and CHASE MANHATTAN CAPITAL MARKETS CORPORATION. Karla has a Series 3, 7, and 63 licenses and has passed the SIE and Series 65 examinations. Karla specializes in providing financial planning, portfolio management, and other advisory services for individuals, businesses, charitable organizations, pension and profit-sharing plans, and insurance companies.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
NJ
04/15/2004 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PRINCETON NJ)
NY
04/20/1993 - 01/01/1996
ASH & CO. INCORPORATED (GREAT NECK NY)
NA
01/15/1992 - 03/08/1993
AIMCO SECURITIES COMPANY, INC.
NY
01/11/1990 - 10/17/1990
SCHONFELD SECURITIES INC. (JERICHO NY)
NA
11/18/1982 - 01/22/1985
CHASE MANHATTAN CAPITAL MARKETS CORPORATION
IA
Issued 6/20/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 1/2/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/16/1989
Series 7 - General Securities Representative Examination
BC
Issued 12/11/1987
Series 3 - National Commodity Futures Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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