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Curtis Charles Miller

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Albany, NY

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-04-19
NJ RA APPROVED 2010-12-17
TX RA APPROVED_RES 2010-12-16
  • NY RA
    APPROVED
    Since 2021-04-19
  • NJ RA
    APPROVED
    Since 2010-12-17
  • TX RA
    APPROVED_RES
    Since 2010-12-16

Branch Locations

69 State St, Albany, NY 12207 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Albany NY 12/2010 Present
Bank Of America, N.A. Albany NY 07/2011 Present
Previous Registrations
  • 2009-06-01 → 2010-12-17
    Morgan Stanley
    Albany, NY
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Albany, NY
  • 2007-03-08 → 2007-04-02
    Morgan Stanley Dw Inc.
    Albany, NY
    Albany, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-03-01
S63 Uniform Securities Agent State Law Examination 1985-11-02
  • S65 Uniform Investment Adviser Law Examination
    2007-03-01
  • S63 Uniform Securities Agent State Law Examination
    1985-11-02

View on SEC IAPD

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