Individual Firm
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PAUL LAURENCE MILLER
CRD#: 2914836
IA
B
EQUITABLE ADVISORS, LLCCRD#: 6627 3 MILL ROAD
SUITE 306
WILMINGTON, DE 19806
SUITE 306
WILMINGTON, DE 19806
View By:
5/17/2004
Customer Dispute
Denied
State Registrations
B
California 11/6/2024
B
New Jersey 10/3/2022
IA
California 11/6/2024
IA
New Jersey 10/4/2022
B
Colorado 10/3/2022
B
New York 10/3/2022
IA
Colorado 10/3/2022
IA
New York 10/3/2022
B
Connecticut 11/3/2022
B
Ohio 1/10/2023
IA
Connecticut 11/4/2022
IA
Ohio 1/11/2023
B
Delaware 10/3/2022
B
Oregon 1/6/2023
IA
Delaware 10/3/2022
IA
Oregon 1/10/2023
B
Florida 11/2/2022
B
Pennsylvania 10/3/2022
IA
Florida 11/7/2022
IA
Pennsylvania 10/3/2022
B
Georgia 11/3/2022
B
Vermont 11/21/2022
IA
Georgia 11/7/2022
IA
Vermont 11/23/2022
B
Maryland 10/3/2022
B
Virginia 12/21/2022
IA
Maryland 10/3/2022
IA
Virginia 1/5/2023
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 10/3/2022
B
Registered with this firm since 10/3/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/16/2015 - 03/31/2023 | BALA CYNWYD, PA | |
B | 07/31/2020 - 10/03/2022 | Doylestown, PA | |
B | 06/25/2018 - 06/30/2020 | Yardley, PA | |
B | 02/19/2016 - 06/19/2018 | Doylestown, PA | |
B | 05/06/2015 - 02/19/2016 | DOYLESTOWN, PA | |
B | 02/13/2013 - 04/29/2015 | SAN DIEGO, CA | |
IA | 11/03/2009 - 12/12/2014 | WILMINGTON, DE | |
B | 01/12/2011 - 12/31/2011 | HOUSTON, TX | |
B | 11/02/2009 - 12/31/2010 | WILMINGTON, DE | |
IA | 07/11/2007 - 11/02/2009 | WILMINGTON, DE | |
B | 06/29/2007 - 11/02/2009 | WILMINGTON, DE | |
IA | 06/30/2003 - 07/03/2007 | YARDLEY, PA | |
B | 09/25/1998 - 07/03/2007 | YARDLEY, PA | |
IA | 05/30/2003 - 11/07/2003 | NEWTON, PA |
For additional information about investment advisers or broker-dealers, please visit
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.