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ADAM HOWARD MILLER
CRD#: 2148763
IA
B
FOUNDERS FINANCIAL SECURITIES, LLCCRD#: 137945 Sarasota, FL
0
Disclosures
31
Years of Experience
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State Registrations
B
Arizona 1/4/2019
B
Massachusetts 12/23/2010
B
Delaware 1/18/2017
B
New Jersey 9/7/2006
B
District of Columbia 3/23/2017
B
New York 3/7/2014
B
Florida 9/7/2006
B
Pennsylvania 9/12/2006
IA
Florida 6/16/2023
B
South Carolina 2/28/2023
B
Maryland 9/7/2006
IA
Texas 1/3/2024
IA
Maryland 9/7/2006
B
Virginia 1/5/2017
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 9/7/2006
B
Registered with this firm since 9/7/2006
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/29/2005 - 09/20/2006 | COCKEYSVILLE, MD | |
B | 05/23/2005 - 09/20/2006 | COCKEYSVILLE, MD | |
IA | 12/04/2000 - 05/24/2005 | COCKEYSVILLE, MD | |
B | 12/01/2000 - 05/24/2005 | NEW YORK, NY | |
B | 01/10/2002 - 12/02/2003 | NEW YORK, NY | |
B | 11/22/1993 - 12/15/2000 | PITTSFIELD, MA |
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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.