Jerry W. 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.
Jerry William Miller was a registered financial professional .
Jerry is a previously registered financial professional and started their career in finance in 1984. Jerry had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 15, Series 7, Series 24, Series 23 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 9, 2018 - February 7, 2023
GUGGENHEIM INVESTMENTS
July 3, 2017 - February 7, 2023
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
July 18, 2013 - July 15, 2016
DEUTSCHE BANK SECURITIES INC.
July 16, 2013 - July 15, 2016
DEUTSCHE BANK SECURITIES INC.
November 10, 2010 - February 25, 2013
SALIENT ADVISORS, L.P.
November 10, 2010 - February 25, 2013
CYPRESS CREEK PARTNERS
August 18, 2010 - February 25, 2013
SALIENT CAPITAL L.P.
March 13, 2008 - August 5, 2008
MORGAN STANLEY DISTRIBUTORS INC.
March 13, 2008 - June 7, 2010
INVESCO CAPITAL MARKETS, INC.
March 13, 2008 - July 9, 2010
MORGAN STANLEY DISTRIBUTION, INC.
April 2, 2007 - March 13, 2008
MORGAN STANLEY & CO. LLC
April 2, 2007 - September 9, 2008
MORGAN STANLEY & CO. LLC
May 12, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
May 12, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
May 20, 2002 - January 4, 2006
MERRILL LYNCH INVESTMENT MANAGERS LP
May 16, 2002 - January 4, 2006
FAM DISTRIBUTORS, INC.
February 4, 1994 - November 26, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 2, 1984 - November 26, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
GUGGENHEIM INVESTMENTS
CRD#: 105477 / SEC#: 801-8008
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 15
Date: 3/14/1988
Foreign Currency Options ExaminationSeries 8
Date: 9/2/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
GUGGENHEIM INVESTMENTS
CRD#: 105477 / SEC#: 801-8008
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 113 |
| AUM (Assets Under Management) | $ 7,395,263,411 |
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.
