Individual Firm
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J. SCOTT MILLER
J SCOTT MILLER, J SCOTT MILLER
CRD#: 4488259
IA
B
MORGAN STANLEYCRD#: 149777 4350 La Jolla Village Drive
Suite 1000
San Diego, CA 92122
Suite 1000
San Diego, CA 92122
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12/20/2006
Customer Dispute
Denied
State Registrations
B
Arizona 1/10/2012
B
Missouri 4/13/2020
B
California 6/1/2009
B
Montana 11/1/2018
IA
California 6/1/2009
B
Nevada 1/10/2012
B
Colorado 7/7/2017
B
New Jersey 9/9/2013
B
Delaware 9/8/2017
B
New York 7/14/2014
B
Florida 1/9/2013
B
North Carolina 6/1/2009
B
Georgia 11/7/2018
B
Ohio 7/21/2020
B
Hawaii 11/1/2018
B
Oregon 5/11/2016
B
Idaho 8/29/2016
B
Pennsylvania 1/8/2021
B
Iowa 3/21/2023
B
Texas 6/1/2009
B
Kentucky 11/17/2018
IA
Texas 6/1/2009
B
Massachusetts 3/21/2023
B
Utah 10/31/2022
B
Michigan 11/1/2018
B
Virgin Islands 8/5/2020
B
Minnesota 10/10/2022
B
Virginia 4/13/2020
B
Mississippi 3/19/2012
B
Washington 1/10/2012
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 6/1/2009
B
Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/03/2009 - 06/01/2009 | SAN DIEGO, CA | |
B | 02/27/2009 - 06/01/2009 | SAN DIEGO, CA | |
IA | 03/25/2005 - 03/03/2009 | SAN DIEGO, CA | |
B | 01/29/2002 - 03/03/2009 | SAN DIEGO, CA | |
IA | 03/04/2004 - 06/29/2004 | SAN DIEGO, CA |
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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.