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Lisa L. Miller

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Miamisburg, OH

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2006-01-04
OH RA APPROVED 2004-03-29
  • TX RA
    APPROVED_RES
    Since 2006-01-04
  • OH RA
    APPROVED
    Since 2004-03-29

Branch Locations

10100 Innovation Dr, Miamisburg, OH 45342 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Dayton OH 04/1997 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-04-24
S63 Uniform Securities Agent State Law Examination 2000-05-04
  • S65 Uniform Investment Adviser Law Examination
    2002-04-24
  • S63 Uniform Securities Agent State Law Examination
    2000-05-04

View on SEC IAPD

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Other Investors

JOSEPH SAMUEL ZAIDAIN
LAKSHYA ARORA
JOSEPH CARL FISHER
JONATHAN PAUL HLAVAC
LISA A BLOCK
DUANE JERROD GILLMAN
JAMES ROBERT ST.PIERRE
Wesley Gooding

Other Offices

SUMMIT FINANCIAL, LLC · MIAMISBURG, OH
EAGLE STRATEGIES LLC · MIAMISBURG, OH
STATE FARM INVESTMENT MANAGEMENT CORP. · West Carrollton, OH
EVERHART ADVISORS · Miamisburg, OH
W&S BROKERAGE SERVICES, INC. · Miamisburg, OH
FIFTH THIRD SECURITIES, INC. · MIAMISBURG, OH
EDWARD JONES · WEST CARROLLTON, OH
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · Dayton, OH

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