Jimmy A. 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.
Jimmy Alan Miller, who also goes by James A Miller, James Alan Miller, Jim A Miller, was a registered financial professional .
Jimmy is a previously registered financial professional and started their career in finance in 1984. Jimmy had worked at 7 firms and has passed the Series 6 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 22, 2004 - August 22, 2011
SCF SECURITIES, INC.
May 15, 2003 - December 3, 2003
SUNSET FINANCIAL SERVICES, INC.
October 19, 2001 - May 16, 2003
USALLIANZ SECURITIES, INC.
August 28, 2000 - May 23, 2001
BANCNORTH INVESTMENT GROUP, INC.
November 29, 1990 - August 31, 2000
PRINCIPAL SECURITIES, INC.
January 13, 1984 - October 4, 1990
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
January 13, 1984 - October 4, 1990
EQUITABLE ADVISORS, LLC
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
SCF SECURITIES, INC.
CRD#: 47275 / SEC#: , 8-51760
Contact information
FINRA licenses (5 States and Territories)
Documents
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.
