Rose M. 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.
Rose Mary Miller, who also goes by Sylvies Miller, was a registered financial professional .
Rose is a previously registered financial professional and started their career in finance in 1989. Rose had worked at 1 firm and has passed the Series 27 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 26, 1989 - April 14, 2016
THORNTON FARISH 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
THORNTON FARISH INC.
CRD#: 830 / SEC#: , 8-37486
Contact information
FINRA licenses (4 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAMMAN, PRESCOTT WOODRUFF | PRESIDENT | 860903 |
| BAMMAN, PRESCOTT WOODRUFF | CHIEF FINANCIAL OFFICER | 860903 |
| CARDINAL, LOUIS CHARLES | EXECUTIVE VICE PRESIDENT | 716540 |
| WHITEHEAD, JOSEPH ANTHONY JR | EXECUTIVE VICE PRESIDENT & CHIEF COMPLIANCE OFFICER | 865409 |
| RUSSELL, SARAH DETLING | CHIEF FINANCIAL OFFICER | 6727189 |
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.
