Eugene A. Miao
Professional summary
Eugene Anthony Miao, who also goes by Eugene Anthony Miao, Eugene Miao, is a registered financial professional currently at NUVEEN SECURITIES, LLC located in New York, New York.
Eugene is registered as a RR (Registered Representative) and started their career in finance in 1990. Eugene has worked at 6 firms and has passed the Series 63, Series 82TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Eugene Anthony Miao's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 10, 2024 - Present
NUVEEN SECURITIES, LLC
Office #1: 375 Park Avenue, New York, NY 10152April 30, 2009 - November 1, 2012
NEXBANK SECURITIES INC
May 16, 2007 - January 29, 2008
NEXBANK SECURITIES INC
April 20, 2005 - April 18, 2007
CIBC WORLD MARKETS CORP.
March 21, 2003 - January 31, 2005
CRT CAPITAL GROUP LLC
March 11, 1998 - February 21, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 4, 1990 - March 10, 1998
MORGAN STANLEY & CO. LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/10/2025)
(1/10/2025)
(1/10/2025)
(1/10/2025)
(1/10/2025)
(1/10/2025)
(7/11/2024)
(1/10/2025)
(1/10/2025)
(1/10/2025)
(1/10/2025)
(1/10/2025)
(1/10/2025)
(1/10/2025)
(1/10/2025)
(1/10/2025)
(1/10/2025)
(1/10/2025)
(1/10/2025)
(1/10/2025)
(1/10/2025)
(1/10/2025)
(1/10/2025)
(1/10/2025)
(1/10/2025)
(1/10/2025)
(1/10/2025)
(1/10/2025)
(1/10/2025)
(1/10/2025)
(1/10/2025)
(1/10/2025)
(1/9/2025)
(1/10/2025)
(1/10/2025)
(1/13/2025)
(1/10/2025)
(1/10/2025)
(1/10/2025)
(1/10/2025)
(1/10/2025)
(1/10/2025)
(1/10/2025)
(1/10/2025)
(1/10/2025)
(1/10/2025)
(1/10/2025)
(1/10/2025)
(1/10/2025)
(1/10/2025)
(1/10/2025)
(1/10/2025)
(1/10/2025)
Exams
Series 82TO
Date: 7/10/2024
Limited Representative-Private Securities OfferingsFINRA
Current Firm
NUVEEN SECURITIES, LLC
CRD#: 469 / SEC#: , 8-13464
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| Arbitration | 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.
