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Detailed Report
Klaus Miller
CRD#: 857322
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 224 VALLEY CREEK BLVD
EXTON, PA 19341
Registration History
1980198519901995200020052010201520202025IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1996 - Present (29 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1978 - Present (46 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 572)1978 - 1978 (<1 year)
Disclosure(s)
View By:
4/19/2010
Customer Dispute
Settled
2/20/2009
Customer Dispute
Settled
10/30/2003
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 9/15/2005
B
New Hampshire 6/16/2003
B
Arizona 2/1/1996
B
New Jersey 11/16/1994
B
California 11/11/1994
IA
New Jersey 7/20/2004
B
Colorado 5/14/1997
B
New Mexico 2/28/2012
B
Connecticut 5/14/1997
B
New York 11/11/1994
IA
Connecticut 11/1/2007
B
North Carolina 5/15/1997
B
Delaware 11/11/1994
B
Ohio 1/8/2002
B
District of Columbia 12/14/2012
B
Oklahoma 3/3/2005
B
Florida 11/14/1994
B
Oregon 9/25/2012
B
Georgia 1/8/2001
B
Pennsylvania 11/8/1981
B
Hawaii 6/25/2009
IA
Pennsylvania 6/18/2010
B
Idaho 10/24/2012
B
Rhode Island 11/23/1999
B
Illinois 12/8/2008
B
South Carolina 2/2/1996
B
Indiana 11/21/2017
B
Tennessee 11/16/2011
B
Kansas 5/24/2013
B
Texas 2/1/1996
B
Louisiana 11/19/2009
IA
Texas 2/1/1996
B
Maine 2/2/2022
B
Utah 3/31/2010
B
Maryland 9/26/1994
B
Vermont 2/4/2025
B
Massachusetts 11/11/1994
B
Virginia 5/15/1997
B
Michigan 1/13/2006
B
Washington 4/23/2013
B
Missouri 8/13/2015
B
Wisconsin 5/19/1997
B
Montana 2/1/1996
B
Wyoming 5/19/1997
B
Nevada 2/23/2022

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)
224 VALLEY CREEK BLVD, EXTON, PA 19341
Registered with this firm since 2/1/1996
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
224 VALLEY CREEK BLVD, EXTON, PA 19341
Registered with this firm since 9/26/1978
Previous Registration(s)
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B
 09/25/1978 - 09/26/1978 MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. (CRD#:572)
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.