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 representative with Merrill Lynch, Pierce, Fenner & Smith Inc. and has been in the industry since August 29, 1989. Karla Sue Miller is also an active investment advisor representative for Merrill Lynch, Pierce, Fenner & Smith Inc. in New Jersey and Connecticut. Prior to joining Merrill Lynch, Pierce, Fenner & Smith Inc. in May 1996, Karla Sue Miller worked for several other firms, including ASH & CO. INCORPORATED, AIMCO SECURITIES COMPANY, INC., SCHONFELD SECURITIES INC., and CHASE MANHATTAN CAPITAL MARKETS CORPORATION. Karla Sue Miller has a strong background in the financial services industry and has a proven track record of success. Karla Sue Miller has a variety of certifications, including the Series 7, Series 3, and Series 63 exams. Karla Sue Miller is also a registered investment advisor.
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 06/20/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/02/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
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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