Michael S. Miller
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Michael Steven Miller SR, who also goes by Michael Steven Miller, Mike Miller, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1981. Michael had worked at 13 firms and has passed the Series 63, SIE, Series 52 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 29, 2013 - May 1, 2015
ACADEMY SECURITIES, INC.
June 6, 2005 - March 31, 2006
JACKSON SECURITIES LLC
April 16, 2004 - April 1, 2005
HOEFER & ARNETT, INCORPORATED
August 12, 2003 - March 31, 2004
M. R. BEAL & COMPANY
February 14, 2002 - December 31, 2002
GLEACHER & COMPANY SECURITIES, INC.
May 16, 1995 - March 3, 2000
A. G. EDWARDS & SONS, INC.
September 26, 1990 - May 9, 1995
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
September 7, 1988 - September 18, 1990
MORGAN STANLEY DW INC.
December 2, 1987 - August 8, 1988
FIRST CALIFORNIA CAPITAL MARKETS GROUP, INC.
September 18, 1987 - January 12, 1988
RIDEAU LYONS & CO.
July 15, 1986 - March 6, 1987
PRUDENTIAL EQUITY GROUP, LLC
June 22, 1984 - December 31, 1984
CARTWRIGHT SECURITIES, INC.
July 28, 1983 - January 4, 1984
MUNICICORP OF CALIFORNIA
September 3, 1981 - November 4, 1982
A. G. EDWARDS & SONS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ACADEMY SECURITIES, INC.
CRD#: 17433 / SEC#: , 8-35173
Contact information
FINRA licenses (38 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MIMS, RONALD CHANCE | CHAIRMAN, CEO | 5637540 |
| GRAHAM, ANTHONY R | FINOP | 4959159 |
| GRAHAM, ANTHONY R | PRINCIPAL OPERATIONS OFFICER | 4959159 |
| GRAHAM, ANTHONY R | PRINCIPAL FINANCIAL OFFICER | 4959159 |
| GRAHAM, ANTHONY R | COO | 4959159 |
| MCCONKEY, PHILIP JOSEPH | VICE CHAIRMAN | 3253139 |
| WILCOX, SPENCER HAMILTON | PRESIDENT | 5802885 |
| BOYD, MICHAEL BARTOW | CHIEF COMPLIANCE OFFICER, MUNICIPAL SECURITIES PRINCIPAL,REGISTERED OPTIONS PRINCIPAL, AML OFFICER | 2557814 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
