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Michael Keith Miller

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Shoreline, WA

Seattle, WA

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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 2020-09-16
WA RA APPROVED 2020-03-09
  • TX RA
    APPROVED
    Since 2020-09-16
  • WA RA
    APPROVED
    Since 2020-03-09

Branch Locations

Shoreline, WA • United States

401 Union St, Seattle, WA 98101 • 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 Seattle WA 12/2019 Present
Sand Valley Golf Resort Nekoosa WI 03/2016 10/2019
Bank Of America, N.A. Seattle WA 02/2020 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-03-06
  • S66 Uniform Combined State Law Examination
    2020-03-06
Other Names
  • Michael Miller

View on SEC IAPD

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Other Offices

THRIVENT INVESTMENT MANAGEMENT INC. · Shoreline, WA
STATE FARM INVESTMENT MANAGEMENT CORP. · Shoreline, WA
STATE FARM INVESTMENT MANAGEMENT CORP. · Mountlake Terrace, WA
U.S. BANCORP ADVISORS, LLC · Shoreline, WA
SMART PORTFOLIOS, LLC · LAKE FOREST PARK, WA
J.P. MORGAN SECURITIES LLC · LAKE FOREST PARK, WA
STATE FARM INVESTMENT MANAGEMENT CORP. · Shoreline, WA
J.P. MORGAN SECURITIES LLC · EDMONDS, WA

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