Individual Firm
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DAVID MILLES DANIEL
CRD#: 1453281
IA
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CITIGROUP GLOBAL MARKETS INC.CRD#: 7059 Santa Barbara, CA
View By:
6/3/2014
Customer Dispute
Settled
State Registrations
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Alabama 7/20/2020
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Nevada 3/9/2010
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Alaska 7/18/2023
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New Hampshire 11/9/2010
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Arizona 6/20/2017
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New Mexico 1/28/2019
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Arkansas 6/26/2025
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New York 4/22/2015
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California 8/6/2007
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Ohio 3/11/2015
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California 8/6/2007
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Oklahoma 9/1/2016
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Colorado 5/12/2010
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Oregon 2/18/2010
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Connecticut 8/16/2022
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Pennsylvania 4/26/2019
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Florida 3/25/2009
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Texas 10/1/2019
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Idaho 11/27/2023
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Utah 4/12/2010
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Illinois 4/20/2018
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Vermont 6/9/2015
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Iowa 10/30/2020
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Virginia 8/25/2016
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Missouri 1/28/2021
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Washington 9/22/2017
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Montana 4/12/2010
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Wisconsin 8/16/2022
SRO Registrations
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View Exams Passed by the individual in the detailed report
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Learn about permitted activities of registered principals
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Registered with this firm since 8/6/2007
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Registered with this firm since 8/6/2007
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/04/2007 - 06/12/2007 | SANTA BARBARA, CA | |
IA | 04/04/2007 - 06/12/2007 | SANTA BARBARA, CA | |
B | 04/06/2007 - 06/12/2007 | SANTA BARBARA, CA | |
IA | 12/15/2003 - 06/02/2005 | PORT HUENEME, CA | |
B | 02/05/2003 - 06/02/2005 | LONG ISLAND CITY, NY | |
B | 12/07/1999 - 02/05/2003 | SACRAMENTO, CA | |
B | 08/27/1996 - 12/31/1998 | LYNNFIELD, MA | |
B | 07/28/1992 - 10/26/1994 | OAKLAND, CA | |
B | 04/02/1991 - 07/08/1991 | ||
B | 06/30/1986 - 02/14/1991 | ||
B | 03/06/1986 - 06/23/1986 | ||
B | 01/23/1986 - 02/24/1986 |
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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.
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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.