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Detailed Report
WAYNE ROBERT MILLER
CRD#: 1548628
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 8 TWO MILE RD 1ST FL
FARMINGTON, CT 06032
Registration History
199019952000200520102015202020252 FIRMS2008 - Present (17 years)BA. G. EDWARDS & SONS, INC. (CRD# 4)1996 - 2008 (11 years)BROOSEVELT & CROSS, INCORPORATED (CRD# 6964)1996 - 1996 (<1 year)BU.S. SECURITIES, INC. (CRD# 14289)1992 - 1996 (4 years)BSHAWMUT BROKERAGE, INC. (CRD# 17081)1991 - 1992 (<1 year)BCNB DISCOUNT BROKERAGE INCORPO... (CRD# 17081)1986 - 1989 (3 years)IAA. G. EDWARDS & SONS, INC. (CRD# 4)1997 - 2008 (11 years)
Disclosure(s)
View By:
5/28/2008
Customer Dispute
Closed-No Action
License(s)

State Registrations

B
Arizona 4/29/2020
B
Nevada 10/12/2022
B
Arkansas 1/8/2025
B
New Jersey 4/29/2020
B
California 1/1/2008
B
New York 1/1/2008
B
Colorado 11/9/2011
B
North Carolina 11/10/2011
B
Connecticut 1/1/2008
B
Ohio 1/4/2013
IA
Connecticut 1/1/2008
B
Oregon 4/11/2024
B
Delaware 4/11/2024
B
Pennsylvania 7/31/2023
B
District of Columbia 11/13/2020
B
Rhode Island 1/8/2025
B
Florida 1/1/2008
B
South Carolina 11/16/2011
B
Georgia 6/13/2024
B
South Dakota 2/2/2024
B
Hawaii 4/11/2024
B
Tennessee 5/6/2020
B
Indiana 1/8/2025
B
Texas 1/10/2024
B
Kentucky 7/31/2023
IA
Texas 1/10/2024
B
Maine 1/1/2008
B
Utah 1/8/2025
B
Maryland 1/8/2025
B
Vermont 2/5/2018
B
Massachusetts 1/1/2008
B
Virginia 4/11/2024
B
Michigan 1/8/2025
B
Washington 4/11/2024
B
Minnesota 8/7/2023
B
Wisconsin 1/8/2025
B
Missouri 10/16/2017

SRO Registrations

B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
8 TWO MILE RD 1ST FL, FARMINGTON, CT 06032
West Hartford, CT
Registered with this firm since 1/1/2008
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
8 TWO MILE RD 1ST FL, FARMINGTON, CT 06032
West Hartford, CT
Registered with this firm since 1/1/2008
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 08/01/1996 - 01/03/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) FARMINGTON, CT
IA
 01/02/1997 - 01/01/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) FARMINGTON, CT
B
 01/02/1996 - 08/12/1996 ROOSEVELT & CROSS, INCORPORATED (CRD#:6964) NEW YORK, NY
B
 01/07/1992 - 01/09/1996 U.S. SECURITIES, INC. (CRD#:14289) HARTFORD, CT
B
 08/29/1991 - 01/08/1992 SHAWMUT BROKERAGE, INC. (CRD#:17081)
B
 08/30/1986 - 12/20/1989 CNB DISCOUNT BROKERAGE INCORPORATED (CRD#:17081)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.