Charles E. Miles
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.
Charles Edward Miles was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1984. Charles had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 3, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 20, 2018 - July 7, 2020
AX TRADING, LLC
April 22, 2015 - November 25, 2016
BLOOMBERG TRADEBOOK LLC
May 16, 2005 - January 10, 2006
DEAM INVESTOR SERVICES, INC.
October 14, 2003 - April 8, 2004
DEAM INVESTOR SERVICES, INC.
November 28, 1997 - November 16, 2001
CITIGROUP GLOBAL MARKETS INC.
November 21, 1984 - September 1, 1998
SALOMON BROTHERS INC.
State Registrations and Notice Filings
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Exams
Current Firm
AX TRADING, LLC
CRD#: 154702 / SEC#: , 8-68667
Contact information
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
