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Samantha Lynn Miller

Purshe Kaplan Sterling Investments

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About Samantha Lynn Miller

Samantha Lynn Miller is a financial professional registered in New York. Samantha has been in the securities industry since 2015 and currently works for Purshe Kaplan Sterling Investments. Samantha has passed a number of securities exams including the Series 7TO, Series 99 and Series 63. Samantha is registered with FINRA and the state of New York.

Firm Information

Samantha Miller is currently registered with Purshe Kaplan Sterling Investments. Purshe Kaplan Sterling Investments is a Corporation formed on December 16, 1993 and is approved to operate in all 50 states, the District of Columbia, and the Virgin Islands. The firm has been registered with the SEC and has 10 regulatory event disclosures and 2 arbitration disclosures.

Not reported

Assets Under Management

Not reported

Total Clients

181

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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Samantha Miller’s Registration & Firm History

NY

04/21/2015 - Present

Purshe Kaplan Sterling Investments (ALBANY NY)

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Licenses & Designations

BC

Issued 10/24/2023

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/26/2023

Series 7TO - General Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/20/2015

Series 99 - Operations Professional Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Samantha Lynn Miller. Review regulatory record here.
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