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Doug Miller J.D.

Northwestern Mutual

6011 University Blvd Suite 370

Ellicott City, MD 21043

443-956-1216

About Northwestern Mutual

In our view, there is only one financial risk: not having the money to do the things you want to do. Our job is to make sure that you can.

We build lasting relationships with our clients by gaining a true understanding of what is important to them. Our comprehensive planning and disciplined approach provides integrated solutions to make sure that our clients can successfully achieve their visions.

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

Individual Investors, Investment Clubs, Businesses, Non-Profit Organizations

Advisory Services Provided

Financial Planning for Businesses, Tax Advice and Services, Financial Planning for Individuals, Education Funding and Planning, Money Management, Wealth Management, 401K Rollovers, Retirement Planning, Portfolio Management, Financial Planning, Insurance Products & Annuities, Estate Planning & Trusts, Investment Advice & Management, Financial Advice & Consulting, Risk Management

Services

Investment Types

Stocks, Mutual Funds, Options & Futures, Bonds, Annuities, Insurance, Commodities, Exchange Traded Funds (ETFs), Alternative Investments, Socially Responsible Investments (SRI)

Can meet clients in the following ways

Our Offices, Video Conference, Via Phone

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 66, Series 65, Series 63, Series 7, Series 6

Insurance and Annuity Licenses

Disability, Annuity, Health, Life, Variable Annuity, Long Term Care, Variable Life

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

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