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Scott Charles Miller

Mizuho Securities USA LLC

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About Scott Charles Miller

Scott Miller is a financial professional with over 25 years of experience in the financial services industry. Scott has a strong background in securities and investments. Scott currently works at Mizuho Securities USA LLC. Scott is a licensed and registered representative with the firm. Scott is registered to provide financial advice in all 50 states, as well as Puerto Rico. Scott has a proven track record of success in helping clients achieve their financial goals.

Firm Information

Scott Miller is currently registered with Mizuho Securities USA LLC. Mizuho Securities USA LLC is a Limited Liability Company formed in April 1994 and approved in all 50 states, the District of Columbia, and Puerto Rico. The firm is registered with the SEC and has been subject to 13 Regulatory Events and 1 Civil Event.

Not reported

Assets Under Management

Not reported

Total Clients

535

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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Scott Miller’s Registration & Firm History

CA

08/03/2020 - Present

Mizuho Securities USA LLC (SAN FRANCISCO CA)

CA

06/28/2017 - 06/03/2019

CREDIT SUISSE SECURITIES (USA) LLC (SAN FRANCISCO CA)

CA

06/23/2000 - 10/28/2015

CREDIT SUISSE SECURITIES (USA) LLC (SAN FRANCISCO CA)

NY

09/11/1998 - 06/29/2000

UBS WARBURG LLC (NEW YORK NY)

CA

12/11/1996 - 08/04/1998

CRUTTENDEN ROTH INCORPORATED (NEWPORT BEACH CA)

MI

09/15/1994 - 12/19/1996

OLDE DISCOUNT CORPORATION (DETROIT MI)

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Licenses & Designations

BC

Issued 09/23/1994

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 01/02/2023

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 08/13/1996

Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/14/1994

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Scott Charles Miller.
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