Lewis T. Miles
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.
Lewis Tilton Miles JR, who also goes by Lewis Tilton Miles Jr, Lt Miles, was a registered financial professional .
Lewis is a previously registered financial professional and started their career in finance in 1983. Lewis had worked at 10 firms and has passed the SIE 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 12, 2014 - September 23, 2024
STONEX SECURITIES INC.
September 4, 2009 - September 12, 2014
WRP INVESTMENTS, INC.
May 2, 2005 - September 4, 2009
WATERSTONE FINANCIAL GROUP, INC.
May 2, 2005 - September 4, 2009
WATERSTONE FINANCIAL GROUP, INC.
January 1, 2004 - May 27, 2005
CETERA ADVISORS LLC
February 7, 1997 - January 1, 2004
VESTAX SECURITIES CORPORATION
January 17, 1996 - February 4, 1997
LOCUST STREET SECURITIES, INC.
July 26, 1994 - January 17, 1996
COMPULIFE INVESTOR SERVICES, INC.
April 19, 1985 - August 8, 1994
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
April 19, 1985 - August 8, 1994
SIGNATOR INVESTORS, INC.
September 23, 1983 - June 11, 1984
FIRST JERSEY SECURITIES, 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
STONEX SECURITIES INC.
CRD#: 18456 / SEC#: , 8-36638
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONEX GROUP INC. | 100% OWNER | |
| BOLTE, DAVID ALBERT | SECRETARY | 2711410 |
| CARTER, JAY WILSON | PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR | 2412541 |
| DAVISON, STUART ANDREW | DIRECTOR | 7824576 |
| DUNAWAY, WILLIAM JOHN | DIRECTOR | 6505923 |
| HUGO, MARK ERIC | POO | 2177412 |
| LYON, CHARLES MARTIN | DIRECTOR | 4000852 |
| MAURER, MARK L | DIRECTOR | 4234406 |
| MCAUSLAN, JAMES BUCHANAN | DIRECTOR | 7658964 |
| PARKER, BRIAN LANE | CHIEF COMPLIANCE OFFICER, ROSFP | 4635848 |
| PORZIO, JOSEPH JOHN | CFO / PFO / FINOP | 1319702 |
| RICHARDSON, MARCUS BRYANT | CHIEF OPERATING OFFICER | 3037932 |
| SMITH, PHILIP ANDREW | DIRECTOR, CHAIRMAN OF THE BOARD | 4999097 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 4 |
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.
