Carl N. 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.
Carl Nicholas Miller III, who also goes by Chuck Miller, was a registered financial professional .
Carl is a previously registered financial professional and started their career in finance in 1984. Carl had worked at 3 firms and has passed the Series 63, SIE, Series 7 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 2, 2014 - March 31, 2015
INDEPENDENT INVESTMENT BANKERS, CORP.
May 13, 2011 - July 24, 2014
FORESIDE FUND SERVICES, LLC
November 21, 1984 - April 15, 1985
MORGAN STANLEY DW 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
INDEPENDENT INVESTMENT BANKERS, CORP.
CRD#: 154134 / SEC#: , 8-68609
Contact information
FINRA licenses (51 States and Territories)
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.
