Lydia 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.
Lydia Joan Miller was a registered financial professional .
Lydia is a previously registered financial professional and started their career in finance in 1984. Lydia had worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 79 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 13, 2012 - November 21, 2014
INTELLIVEST SECURITIES, INC.
July 24, 1987 - July 5, 1991
EULAV SECURITIES, INC.
December 4, 1984 - August 26, 1985
ALEX. BROWN & SONS INCORPORATED
August 21, 1984 - August 31, 1984
BECKER PARIBAS INCORPORATED
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
INTELLIVEST SECURITIES, INC.
CRD#: 145022 / SEC#: , 8-67693
Contact information
FINRA licenses (5 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KOLBER, DANIEL HACKNER | PRESIDENT, CEO, CHIEF FINANCIAL OFFICER (CFO), SOLE SHAREHOLDER, CHIEF COMPLIANCE OFFICER | 1001814 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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