Individual Firm
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LAWRENCE S MILLER
LARRY SCOTT MILLER, LAWRENCE SCOTT MILLER
CRD#: 1016147
IA
B
MORGAN STANLEYCRD#: 149777 1801 North Military Trail
Suite 300
Boca Raton, FL 33431
Suite 300
Boca Raton, FL 33431
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1/29/2001
Customer Dispute
Denied
2/5/1998
Customer Dispute
Denied
State Registrations
B
Arizona 1/3/2012
B
Missouri 1/4/2024
B
California 7/8/2010
B
Nevada 12/16/2019
B
Colorado 1/24/2022
B
New Hampshire 1/3/2012
B
Connecticut 7/24/2015
B
New Jersey 3/16/2010
B
Delaware 4/1/2020
B
New Mexico 6/14/2021
B
District of Columbia 1/15/2016
B
New York 3/16/2010
B
Florida 3/16/2010
B
North Carolina 3/16/2010
IA
Florida 5/18/2010
B
Ohio 3/16/2010
B
Georgia 6/29/2015
B
Oklahoma 8/2/2023
B
Hawaii 1/6/2014
B
Oregon 11/30/2012
B
Illinois 1/3/2012
B
Pennsylvania 3/16/2010
B
Indiana 1/18/2022
B
Rhode Island 1/16/2015
B
Louisiana 8/8/2023
B
South Carolina 3/16/2010
B
Maryland 3/25/2010
B
Tennessee 11/25/2015
B
Massachusetts 3/17/2010
B
Texas 1/3/2012
B
Michigan 7/19/2021
IA
Texas 3/22/2012
B
Mississippi 3/2/2016
B
Virginia 1/6/2014
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 5/18/2010
B
Registered with this firm since 3/16/2010
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/12/2009 - 03/16/2010 | BOCA RATON, FL | |
B | 10/07/2004 - 03/16/2010 | BOCA RATON, FL | |
B | 04/14/1999 - 10/28/2004 | PHILADELPHIA, PA | |
B | 08/12/1993 - 04/19/1999 | WEEHAWKEN, NJ | |
B | 07/31/1993 - 08/25/1993 | NEW YORK, NY | |
B | 01/16/1989 - 07/31/1993 | NEW YORK, NY | |
B | 12/04/1986 - 02/21/1989 | ||
B | 08/29/1986 - 05/04/1988 | ||
B | 08/12/1985 - 06/10/1986 | ||
B | 11/07/1984 - 08/20/1985 | ||
B | 06/21/1982 - 01/18/1984 | ||
B | 06/21/1982 - 01/18/1984 |
08/12/1985 - 06/10/1986
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.