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SPENCER M MILLER
SPENCER MARC MILLER
CRD#: 6273107
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 2815 TOWNSGATE RD
PBIG- WESTLAKE VILLAGE PWM
WESTLAKE VILLAGE, CA 91361
Registration History
20142015201620172018201920202021202220232024202520262 FIRMS2014 - Present (11 years)
Disclosure(s)
View By:
12/14/2023
Customer Dispute
Denied
12/7/2023
Customer Dispute
Pending
7/25/2023
Customer Dispute
Pending
License(s)

State Registrations

B
Alabama 4/30/2014

B
Massachusetts 8/15/2018

B
Arizona 4/7/2014

B
Michigan 9/5/2024

B
California 2/3/2014

B
Missouri 1/3/2017

IA
California 2/3/2014

B
Montana 6/11/2018

B
Colorado 5/25/2018

B
Nevada 4/7/2014

B
Connecticut 11/2/2022

B
New Jersey 9/16/2022

B
Delaware 1/3/2017

B
New York 4/7/2014

B
Florida 1/23/2020

B
North Carolina 6/7/2016

B
Georgia 3/31/2020

B
Ohio 6/30/2016

B
Hawaii 11/10/2014

B
Oregon 1/25/2019

B
Idaho 1/22/2018

B
Pennsylvania 9/16/2022

IA
Idaho 3/4/2022

B
Tennessee 11/1/2021

B
Illinois 5/5/2014

IA
Texas 5/22/2014

B
Indiana 10/30/2023

B
Texas 3/8/2016

B
Kansas 8/16/2017

B
Utah 11/14/2023

B
Louisiana 10/8/2021

B
Virginia 7/9/2020

B
Maine 9/2/2022

B
Washington 4/7/2014

B
Maryland 7/26/2019

SRO Registrations

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
2815 TOWNSGATE RD PBIG- WESTLAKE VILLAGE PWM, WESTLAKE VILLAGE, CA 91361
Registered with this firm since 2/3/2014

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
2815 TOWNSGATE RD PBIG- WESTLAKE VILLAGE PWM, WESTLAKE VILLAGE, CA 91361
Registered with this firm since 1/14/2014

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B
Broker
IA
Investment Adviser
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.