Individual Firm
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DOUGLAS HUME MILLER
DOUGLAS H. MILLER
CRD#: 4130719
IA
B
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCCRD#: 2881 888 Bestgate Rd Ste 401
ANNAPOLIS, MD 21401
ANNAPOLIS, MD 21401
0
Disclosures
24
Years of Experience
View By:
State Registrations
B
Alabama 4/2/2024
B
New Hampshire 5/18/2017
B
Arizona 10/28/2015
B
New Jersey 4/26/2024
B
California 1/31/2020
B
North Carolina 1/2/2019
B
Colorado 3/4/2022
B
Ohio 11/5/2020
B
Delaware 7/28/2021
B
Oregon 3/9/2023
B
District of Columbia 5/3/2017
B
Pennsylvania 12/23/2020
B
Florida 5/26/2021
B
South Carolina 11/7/2019
B
Illinois 2/12/2021
B
Tennessee 1/27/2017
B
Indiana 9/2/2015
B
Texas 6/25/2019
B
Maryland 7/16/2010
B
Utah 9/7/2018
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Maryland 6/7/2011
B
Virginia 2/16/2011
B
Massachusetts 12/15/2023
B
Washington 6/20/2018
B
Montana 1/9/2024
B
Wisconsin 12/20/2022
B
Nevada 3/13/2024
SRO Registrations
B
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IA
Registered with this firm since 6/7/2011
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Registered with this firm since 7/16/2010
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 10/13/2006 - 04/09/2010 | ST. PETERSBURG, FL | |
B | 07/12/2004 - 08/21/2007 | ST. PETERSBURG, FL | |
IA | 03/17/2003 - 07/16/2004 | CHICAGO, IL | |
B | 07/30/2002 - 07/16/2004 | CHICAGO, IL | |
B | 01/13/2001 - 07/30/2002 | NEW YORK, NY | |
B | 02/14/2000 - 01/13/2001 | BALTIMORE, MD |
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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.