Ronald H. Poe

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CRD#: 1284078

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.

Ronald Henry Poe was a registered financial professional .

Ronald is a previously registered financial professional and started their career in finance in 1984. Ronald had worked at 6 firms and has passed the Series 65, Series 63, Series 3, Series 7 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

August 7, 2009 - December 31, 2016

MILLENNIUM INVESTMENT AND RETIREMENT ADVISORS, LLC

RIA

CRD#: 117868

CHARLOTTE, NC

Past

August 5, 2005 - June 14, 2007

SOUTHEAST INVESTMENTS, N.C., INC.

CRD#: 43035

CHARLOTTE, NC

Past

April 30, 2004 - August 22, 2005

WALLSTREET*E FINANCIAL SERVICES, INC.

CRD#: 43896

CORAL GABLES, FL

Past

September 13, 2002 - December 31, 2003

FIRST MONTAUK SECURITIES CORP.

CRD#: 13755

RED BANK, NJ

Past

September 11, 2000 - May 29, 2002

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

Past

July 26, 1984 - October 2, 2000

WACHOVIA SECURITIES, INC.

CRD#: 431

CHARLOTTE, NC

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MILLENNIUM INVESTMENT AND RETIREMENT ADVISORS, LLC

MILLENNIUM | RICKY G. CANIPE DBA MILLENNIUM FINANCIAL SERVICES | MIRA | MILLENNIUM INVESTMENT AND RETIREMENT ADVISORS, LLC | MILLENNIUM FINANCIAL SERVICES

CRD#: 117868 / SEC#: 801-76544

RIA

Registered Investment Advisory firm - (4/26/2012 Approved)

North Carolina

Registered Investment Advisory firm - (4/27/2012 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/6/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/30/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 10/11/1984

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 7/21/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 1/26/1990

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

MILLENNIUM INVESTMENT AND RETIREMENT ADVISORS, LLC

MILLENNIUM | RICKY G. CANIPE DBA MILLENNIUM FINANCIAL SERVICES | MIRA | MILLENNIUM INVESTMENT AND RETIREMENT ADVISORS, LLC | MILLENNIUM FINANCIAL SERVICES

CRD#: 117868 / SEC#: 801-76544

RIA

Registered Investment Advisory firm - (4/26/2012 Approved)

North Carolina

Registered Investment Advisory firm - (4/27/2012 Terminated)

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Contact information

Main Address

Winston Salem, NC

Mailing Address

1959 N. Peace Haven Rd. Box 157, Winston Salem, NC 27106

Phone number

(800) 344-4038

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (20 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MILLENNIUM INVESTMENT & RETIREMENT ADVISORS, LLC FORM ADV PART 2A FIRM BROCHURE (3/26/2025)

Regulatory assets under management

Total Number of Accounts	647
AUM (Assets Under Management)	$ 1,374,389,476

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.

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Firm Stability Insights

Ronald H. Poe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SOUTHEAST INVESTMENTS, N.C., INC.

WALLSTREET*E FINANCIAL SERVICES, INC.

FIRST MONTAUK SECURITIES CORP.

EDWARD JONES

WACHOVIA SECURITIES, INC.

Primary Firm SEC Registration

MILLENNIUM INVESTMENT AND RETIREMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/6/2009

Series 63

Date: 7/30/1984

Series 3

Date: 10/11/1984

Series 7

Date: 7/21/1984

Series 8

Date: 1/26/1990

Current Firm

MILLENNIUM INVESTMENT AND RETIREMENT ADVISORS, LLC

Contact information

SEC notice filing (20 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MILLENNIUM INVESTMENT AND RETIREMENT ADVISORS, LLC

TRUST BUT VERIFY

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