C B. 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.
C Bradley Miller, who also goes by Brad Miller, Bradley Miller, Clinton Bradley Miller, was a registered financial professional .
C is a previously registered financial professional and started their career in finance in 1985. C had worked at 6 firms and has passed the Series 63, SIE, Series 82 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
December 22, 2015 - April 1, 2016
TCG SECURITIES, L.L.C.
May 16, 2007 - April 1, 2008
OLD MUTUAL INVESTMENT PARTNERS
April 9, 2001 - August 28, 2002
BELLE HAVEN INVESTMENTS, L.P.
October 27, 1995 - May 3, 1999
BELLE HAVEN INVESTMENTS, L.P.
March 19, 1991 - April 28, 1994
DAIWA CAPITAL MARKETS AMERICA INC.
June 21, 1990 - February 11, 1991
DB ALEX. BROWN LLC
April 23, 1985 - May 8, 1990
SALOMON BROTHERS 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
TCG SECURITIES, L.L.C.
CRD#: 154788 / SEC#: , 8-68672
Contact information
FINRA licenses (1 States and Territories)
Documents
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.
