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Detailed Report
DALE THOMAS MILLER
CRD#: 2216508
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 4000 Carillon Point
Suite 600
Kirkland, WA 98033
Registration History
19952000200520102015202020252 FIRMS2008 - 2009 (1 year)2 FIRMS2009 - Present (15 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2001 - 2008 (6 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1996 - 2001 (5 years)BSMITH BARNEY INC. (CRD# 7059)1994 - 1996 (1 year)BCORT MACKENZIE SECURITIES, INC. (CRD# 27121)1993 - 1994 (1 year)BJ. W. GANT & ASSOCIATES, INC. (CRD# 7963)1992 - 1992 (<1 year)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2002 - 2008 (6 years)
Disclosure(s)
View By:
10/29/2001
Employment Separation After Allegations
License(s)

State Registrations

B
Alabama 6/4/2019
B
Montana 1/2/2018
B
Alaska 2/17/2012
B
Nebraska 11/14/2024
B
Arizona 6/1/2009
B
Nevada 6/1/2009
B
Arkansas 11/21/2024
B
New Hampshire 1/10/2020
B
California 6/1/2009
B
New Jersey 3/2/2011
B
Colorado 6/1/2009
B
New Mexico 1/17/2018
B
Connecticut 2/8/2018
B
New York 9/10/2009
B
Delaware 3/31/2021
B
North Carolina 10/1/2013
B
District of Columbia 10/1/2020
B
North Dakota 11/18/2024
B
Florida 6/1/2009
B
Ohio 11/10/2020
B
Georgia 7/18/2016
B
Oklahoma 9/24/2018
B
Hawaii 1/5/2016
B
Oregon 6/1/2009
B
Idaho 6/1/2009
B
Pennsylvania 6/17/2015
IA
Idaho 10/27/2014
B
Rhode Island 4/28/2021
B
Illinois 6/1/2009
B
South Carolina 12/13/2023
B
Indiana 5/2/2013
B
South Dakota 1/10/2018
B
Iowa 9/28/2020
B
Tennessee 5/5/2015
B
Kansas 7/19/2013
B
Texas 6/22/2016
B
Kentucky 11/15/2024
IA
Texas 6/22/2018
B
Louisiana 9/23/2020
B
Utah 6/1/2009
B
Maine 8/13/2013
B
Vermont 12/12/2024
B
Maryland 10/29/2024
B
Virginia 6/6/2018
B
Massachusetts 1/5/2018
B
Washington 6/1/2009
B
Michigan 8/10/2011
IA
Washington 6/1/2009
B
Minnesota 11/15/2024
B
Wisconsin 6/22/2018
B
Mississippi 12/12/2024
B
Wyoming 6/27/2018
B
Missouri 6/1/2009

SRO Registrations

B
 FINRA
B
 NYSE American 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
MORGAN STANLEY (CRD#:149777)
4000 Carillon Point Suite 600, Kirkland, WA 98033
Moscow, ID
Registered with this firm since 6/1/2009
B
MORGAN STANLEY (CRD#:149777)
4000 Carillon Point Suite 600, Kirkland, WA 98033
Moscow, ID
Registered with this firm since 6/1/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 05/09/2008 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) BELLEVUE, WA
B
 05/09/2008 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) BELLEVUE, WA
IA
 04/10/2002 - 05/21/2008 UBS FINANCIAL SERVICES INC. (CRD#:8174) BELLEVUE, WA
B
 11/05/2001 - 05/21/2008 UBS FINANCIAL SERVICES INC. (CRD#:8174) BELLEVUE, WA
B
 09/16/1996 - 11/26/2001 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
 10/05/1994 - 09/06/1996 SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
B
 06/01/1993 - 09/30/1994 CORT MACKENZIE SECURITIES, INC. (CRD#:27121)
B
 02/24/1992 - 06/30/1992 J. W. GANT & ASSOCIATES, INC. (CRD#:7963)
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.