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Paladin Research Report For:

Doug Miller J.D.

Northwestern Mutual

CFP®CLU®
6011 University Blvd Suite 370
Ellicott City, MD 21043
443-956-1216

About Doug Miller J.D.

Doug Miller has worked in the financial services industry since January 3rd of 2000. From 1993-1999 he practiced Estate Planning and Business law. While in law school he worked at the SEC in the enforcement division. He is married and has 3 daughters. Two are currently at the University of Maryland and one is a graduate from Maryland and heading to PA school. He enjoys spending time with his family and participating in Ironman competitions.

See Disclosures

General Information

Firm Start Year
  • 1921
CRD#
  • 4130719
Firm CRD#
  • 2881
Insurance License#
  • 100043088
States Licensed in
  • AZ, CA, DE, DC, FL, Il, IN, MD,NH,NC,OH, PA, SC, TN, TX, UT, VA, WA
Years of Experience in Financial Services
  • 21
Number of Years with Current Firm
  • 11
Work Experience
  • Attorney At Law 1993-1999 DB Alex Brown 2000-2004 Raymond James 2004-2010 Northwestern Mutual 2010-Present
Work with the following types of clients
  • Non-Profit Organizations, Investment Clubs, Businesses, Individual Investors
Advisory Services Provided
  • Education Funding and Planning, Financial Planning for Individuals, Financial Planning for Businesses, Tax Advice and Services, Risk Management, Financial Advice & Consulting, Investment Advice & Management, Estate Planning & Trusts, Insurance Products & Annuities, Financial Planning, Portfolio Management, Retirement Planning, Money Management, Wealth Management, 401K Rollovers

Compliance

Registered Representative
  • Yes
Investment Advisor Representative
  • Yes
Acknowledged fiduciary
  • Yes
Compliance Disclosures in Last 5 years
  • Have a clean record
Criminal Disclosures in Last 5 years
  • Have a clean record

Qualifications & Membership

Certifications, Accreditations & Designations
  • CFP®, CLU®
Securities Licenses
  • Series 6, Series 7, Series 63, Series 65, Series 66
Insurance and Annuity Licenses
  • Variable Life, Disability, Annuity, Health, Life, Variable Annuity, Long Term Care

Firm Information

Advisor's Number of Clients
  • 120
Advisor's Number of Managed Clients
  • 41
Advisor's Number of Planning Clients
  • 57
Assets Managed by Advisor
  • $61,000,000.00

Compensation and Fees

Fee Structure
  • Fee-Based
Minimum Portfolio Size for New Managed Accounts
  • $500,000.00
Compensation Methods
  • Flat Fee, Based on Assets, Commissions
Fee % Based on Assets
  • 1.35% max
Additional Details on Charges
  • Financial Planning Fee Minimum $2000.00 for Single Person, $2,500 Married Couple Fee Schedule for Managed Accounts-Graded Scale First $800,000 = 1.35%: Next $800,000-$ 2,000,000 = .75%, > $2,000,000-$5,000,000 = .65%
Minimum Fee Charged for Managed Accounts
  • $6,750.00

Education

BA - Anthropology: Business

Vanderbilt University
8/1986 -5/1990

Juris Doctor with Honors -

University of Maryland School of Law
8/1990 -5/1993

Disclosures

PaladinRegistry.com provides referrals to financial professionals. PaladinRegistry.com is not a current client of advisor or advisory services. Financial professionals pay cash compensation for these referrals, which creates the incentive for PaladinRegistry.com to make these referrals, resulting in a conflict of interest.

Additional Detailed Disclosures
https://www.paladinregistry.com/disclosure/1889963/paladinregistry-Northwestern-Mutual-detailed-disclosure.html