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TRISTRAM SANBORN MILLARD
TRIS SANBORN MILLARD, TRIST SANBORN MILLARD, TRISTRAM S. MILLARD
CRD#: 4093725
IA
B
NEWEDGE ADVISORSCRD#: 171351 639 Loyola Ave, Suite 2100
New Orleans, LA 70113
New Orleans, LA 70113
LPL FINANCIAL LLCCRD#: 6413 639 LOYOLA AVENUE, STE 2100
NEW ORLEANS, LA 70113
NEW ORLEANS, LA 70113
0
Disclosures
22
Years of Experience
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State Registrations
B
Colorado 10/27/2016
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New Hampshire 11/14/2024
B
Connecticut 3/26/2021
B
New Mexico 4/6/2022
B
Florida 10/27/2016
B
New York 9/29/2020
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Florida 12/16/2019
B
Ohio 9/14/2023
B
Kansas 11/16/2017
B
South Carolina 7/7/2021
B
Louisiana 10/27/2016
B
Tennessee 10/25/2020
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Louisiana 11/7/2016
B
Texas 9/17/2019
B
Maine 10/27/2016
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Texas 9/19/2019
B
Mississippi 10/27/2016
B
Wisconsin 12/21/2022
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Mississippi 9/30/2019
SRO Registrations
B
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Registered with this firm since 11/7/2016
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Registered with this firm since 10/27/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 09/18/2012 - 11/02/2016 | NEW ORLEANS, LA | |
IA | 10/14/2011 - 09/06/2012 | CAMAS, WA | |
B | 04/29/2010 - 08/24/2011 | NEW ORLEANS, LA | |
IA | 12/05/2005 - 08/17/2009 | HARTLAND, VT | |
B | 12/05/2005 - 08/17/2009 | HARTLAND, VT | |
B | 12/05/2005 - 07/09/2007 | WESTBORO, MA | |
IA | 11/19/2003 - 12/31/2005 | WOODBRIDGE, NJ | |
B | 11/19/2003 - 12/31/2005 | SOMERSET, NJ | |
IA | 06/13/2003 - 11/12/2003 | HANOVER, NH | |
B | 03/17/2003 - 11/12/2003 | JOHNSTON, RI | |
B | 11/01/2000 - 04/11/2002 | EDISON, NJ | |
B | 01/20/2000 - 04/27/2000 | NEW YORK, NY |
WOODBRIDGE, NJ
11/19/2003 - 12/31/2005
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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.
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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.