Thomas J. 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.
Thomas Jeremy Miller, who also goes by Thomas J Miller, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1989. Thomas had worked at 7 firms and has passed the Series 63, Series 66, Series 7, Series 3, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 17, 2011 - July 1, 2014
TERRA CAPITAL MARKETS LLC
July 12, 2004 - December 5, 2005
UBS FINANCIAL SERVICES INC.
April 6, 2004 - June 16, 2004
THE DELAWARE BAY COMPANY, INC.
May 12, 2003 - March 26, 2004
PICO QUANTITATIVE TRADING LLC
July 15, 1998 - June 14, 2001
J.P. MORGAN SECURITIES LLC
April 25, 1996 - January 2, 1997
SCHONFELD SECURITIES, LLC
March 5, 1993 - July 1, 1993
SCHONFELD SECURITIES, LLC
July 18, 1989 - November 20, 1990
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Exams
Current Firm
TERRA CAPITAL MARKETS LLC
CRD#: 123762 / SEC#: , 8-65611
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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