Alan E. 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.
Alan Edward Miller was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1984. Alan had worked at 6 firms and has passed the Series 63 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
July 23, 1994 - November 7, 1994
LEGEND MERCHANT GROUP, INC.
January 23, 1992 - September 17, 1994
MARSH, BLOCK & CO. INC.
July 10, 1987 - August 1, 1991
UBS FINANCIAL SERVICES INC.
July 24, 1985 - July 6, 1987
GREENTREE SECURITIES CORP.
June 13, 1984 - June 12, 1985
CITIWIDE SECURITIES CORP.
March 23, 1984 - June 9, 1984
C.W. RHOADES & CO., 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
LEGEND MERCHANT GROUP, INC.
CRD#: 5155 / SEC#: 801-63525, 8-21703
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEDGE END CORP. | OWNER | |
| UNSWORTH, DAVID WOODS JR | CHAIRMAN, CCO, CEO & PRESIDENT | 1609040 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 4 |
| Judgment/Lien | 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.
