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Detailed Report
DAVID MILLER
DAVID JOHN MILLER
CRD#: 5339126
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 Fairview, TX
Registration History
20082010201220142016201820202022202420262 FIRMS2009 - Present (15 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2007 - 2009 (1 year)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2008 - 2009 (1 year)
License(s)

State Registrations

B
Alaska 3/12/2020
B
Michigan 3/26/2020
B
Arizona 9/29/2021
B
Missouri 6/13/2018
B
Arkansas 1/27/2021
B
New York 11/19/2009
B
California 6/1/2009
B
North Carolina 2/23/2015
B
Colorado 9/14/2009
B
Oklahoma 10/20/2009
B
Florida 9/6/2016
B
Pennsylvania 2/20/2018
B
Georgia 11/17/2020
B
Tennessee 9/14/2009
B
Hawaii 4/17/2023
B
Texas 6/1/2009
IA
Hawaii 8/10/2023
IA
Texas 6/1/2009
B
Kansas 9/6/2012
B
Utah 6/15/2017
B
Kentucky 8/8/2017
B
Virginia 6/8/2022
B
Louisiana 7/6/2021
B
Washington 7/6/2016
B
Massachusetts 8/24/2020

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)
Fairview, TX
Registered with this firm since 6/1/2009
B
MORGAN STANLEY (CRD#:149777)
Fairview, TX
Registered with this firm since 6/1/2009
Previous Registration(s)
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IA
 01/14/2008 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) TYLER, TX
B
 11/20/2007 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) TYLER, TX
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.