Mark I Miller

CRD 1993432 · Morgan Stanley · New York, NY

IA RegisteredBroker

Also appears in the source record as: Mark Miller

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (13): Series 66Series 63Series 10Series 24Series 62Series 6TOSeries 57TOSeries 22TOSIESeries 3Series 31Series 7Series 55
Registered states (36): Alabama · Arizona · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Idaho · Illinois · Indiana · Iowa · Kansas · Louisiana · Maryland · Massachusetts · Michigan · Minnesota · Montana · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · Oregon · Pennsylvania · South Carolina · Tennessee · Texas · Utah · Vermont · Virginia · Washington · Wisconsin
Years in the industry (source record): 26
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Morgan Stanley
Firm CRD: 149777
SEC number: 801-70103
Assets under management: $2.0T as of Jun 30, 2026
Website: www.morganstanley.com ↗
Phone: 914-225-5510
Firm location: Purchase, NY, 10577-2530

Employment history (5)

From the source registration record · current first

Morgan StanleyCurrent
New York, NY · IA capacity

May 18, 2020 → present
Citigroup Global Markets Inc.
BD capacity

Jun 15, 2006 → Jun 1, 2009
Headless Horseman Trading, LLC
BD capacity

Feb 2, 2005 → Sep 29, 2006
Bear Wagner Specialists LLC
BD capacity

Jan 2, 2001 → Jun 17, 2003
Hunter Specialists, LLC
BD capacity

Oct 1, 2000 → Jan 2, 2001

Source & corrections

Where this page comes from

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