Janet 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.
Janet Marie Miller, who also goes by Mary Miller, was a registered financial professional .
Janet is a previously registered financial professional and started their career in finance in 1983. Janet had worked at 3 firms and has passed the Series 63 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 11, 1995 - September 12, 1995
ROBERT THOMAS SECURITIES, INC
October 15, 1984 - November 23, 1984
FIRST UNION CAPITAL MARKETS CORP.
May 12, 1983 - August 17, 1994
QUICK & REILLY, 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
ROBERT THOMAS SECURITIES, INC
CRD#: 10147 / SEC#: , 8-26680
Contact information
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.
