Michael V. 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 Vincent Miller, who also goes by Michael V Miller, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1982. Michael had worked at 14 firms and has passed the Series 66, Series 63, Series 3, Series 5 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
September 20, 2013 - May 6, 2014
MIDAMERICA FINANCIAL SERVICES, INC.
July 10, 2009 - November 10, 2011
TD AMERITRADE, INC.
July 10, 2009 - November 10, 2011
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
May 20, 2009 - November 10, 2011
TD AMERITRADE, INC.
May 5, 2004 - February 26, 2009
COREBRIDGE CAPITAL SERVICES, INC.
January 20, 2004 - January 27, 2004
EDWARD JONES
January 17, 2001 - February 19, 2003
JPMORGAN DISTRIBUTION SERVICES, INC.
July 29, 1999 - May 10, 2000
ALLIANCEBERNSTEIN INVESTMENTS, INC.
April 18, 1990 - July 27, 1999
AMUNDI DISTRIBUTOR US, INC.
November 10, 1989 - March 26, 1990
WWK INVESTMENTS, INC.
May 16, 1989 - November 1, 1989
DICKINSON & CO.
April 23, 1985 - May 18, 1989
WOODBURY FINANCIAL SERVICES, INC.
June 5, 1984 - April 22, 1985
U. S. CAPITAL SECURITIES, INC.
September 19, 1983 - April 19, 1984
E. F. HUTTON & COMPANY INC
December 31, 1982 - September 12, 1983
FIRST MID-AMERICA 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
Series 5
Date: 4/1/1983
Interest Rate Options ExaminationCurrent Firm
MIDAMERICA FINANCIAL SERVICES, INC.
CRD#: 47351 / SEC#: , 8-51758
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
