John A. 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.
John Albert Miller was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1983. John had worked at 5 firms and has passed the Series 63, SIE, Series 55 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 29, 2003 - December 31, 2014
AGENCY TRADING GROUP, INC.
January 21, 2002 - October 24, 2003
NAVILLUS SECURITIES, INC.
June 13, 1986 - April 15, 1998
WESSELS, ARNOLD & HENDERSON, L.L.C.
July 23, 1985 - October 3, 1986
MABON, NUGENT & CO.
October 19, 1983 - March 25, 1986
J.C. BRADFORD & CO.
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 55
Date: 7/22/2003
Limited Representative-Equity Trader ExamCurrent Firm
AGENCY TRADING GROUP, INC.
CRD#: 108887 / SEC#: , 8-53088
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
Red Flags
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