D Lee Miller

CRD 334563 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Saratoga Springs, NY

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (11): Series 7TOSIEPCSeries 000Series 1Series 53Series 24Series 12Series 4Series 65Series 63
Registered states (32): Arizona · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Illinois · Maryland · Massachusetts · Michigan · Missouri · Montana · Nebraska · New Hampshire · New Jersey · New York · North Carolina · Ohio · Oklahoma · Oregon · Pennsylvania · South Carolina · Tennessee · Texas · Vermont · Virginia · Washington · Wisconsin · Wyoming
Years in the industry (source record): 57
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: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Firm CRD: 7691
SEC number: 801-14235
Assets under management: $1.8T as of Jun 29, 2026
Website: www.merrilledge.com/GUIDED-INVESTING ↗
Phone: 800-637-7455
Firm location: New York, NY, 10036

Employment history (12)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Saratoga Springs, NY · IA capacity

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Saratoga Springs, NY · BC capacity

start not retrieved → present
Ubs Financial Services Inc.
Albany, NY · IA capacity

Jul 5, 2007 → Aug 20, 2012
Ubs Financial Services Inc.
Albany, NY · BC capacity

Feb 16, 2007 → Aug 20, 2012
Citigroup Global Markets Inc.
Albany, NY · BC capacity

Dec 1, 1993 → Feb 26, 2007
Advest, Inc.
Hartford, CT · BC capacity

Sep 30, 1985 → Nov 23, 1993
Burgess & Leith Incorporated
BC capacity

Sep 7, 1979 → Sep 30, 1985
Loeb Partners
BC capacity

Jan 18, 1978 → Oct 18, 1979
Hornblower, Weeks, Noyes & Trask Incorporated
BC capacity

May 5, 1977 → Jan 18, 1978
Hornblower & Weeks - Hemphill, Noyes Incorporated
BC capacity

Jan 13, 1977 → May 5, 1977
Loeb, Rhoades & Co. Inc.
BC capacity

May 23, 1975 → Feb 5, 1977
Merrill Lynch, Pierce, Fenner & Smith, Inc.
BC capacity

Aug 1, 1969 → Jun 19, 1975

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

SEC IAPD record for CRD 334563 ↗ FINRA BrokerCheck record for CRD 334563 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: BROKERCHECK. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.