Lily 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.
Lily Bell Carter Miller, who also goes by Lily Bell Miller Mrs., Lily Carter Miller Mrs., was a registered financial professional .
Lily is a previously registered financial professional and started their career in finance in 1986. Lily had worked at 9 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 6, 2019 - June 2, 2021
STONEX SECURITIES INC.
July 12, 2011 - December 6, 2019
QUEST CAPITAL STRATEGIES, INC.
April 18, 2008 - August 6, 2009
MUTUAL SERVICE CORPORATION
December 19, 2003 - December 31, 2006
PLANMEMBER SECURITIES CORPORATION
December 17, 2003 - December 31, 2006
PLANMEMBER SECURITIES CORPORATION
June 23, 2003 - December 18, 2003
VOYA FINANCIAL ADVISORS, INC.
March 7, 2000 - December 18, 2003
VOYA FINANCIAL ADVISORS, INC.
November 5, 1999 - March 7, 2000
STUART SECURITIES CORP.
April 29, 1998 - December 3, 1999
VOYA FINANCIAL ADVISORS, INC.
April 18, 1996 - March 11, 1998
SUNAMERICA SECURITIES, INC.
January 27, 1993 - December 31, 1994
NORTH AMERICAN MANAGEMENT, INC.
August 20, 1990 - December 19, 1992
NORTH AMERICAN MANAGEMENT, INC.
January 23, 1986 - July 12, 1990
PFS INVESTMENTS 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
Series 6TO
Date: 2/10/2024
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
STONEX SECURITIES INC.
CRD#: 18456 / SEC#: , 8-36638
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONEX GROUP INC. | 100% OWNER | |
| BOLTE, DAVID ALBERT | SECRETARY | 2711410 |
| CARTER, JAY WILSON | PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR | 2412541 |
| DAVISON, STUART ANDREW | DIRECTOR | 7824576 |
| DUNAWAY, WILLIAM JOHN | DIRECTOR | 6505923 |
| HUGO, MARK ERIC | POO | 2177412 |
| LYON, CHARLES MARTIN | DIRECTOR | 4000852 |
| MAURER, MARK L | DIRECTOR | 4234406 |
| MCAUSLAN, JAMES BUCHANAN | DIRECTOR | 7658964 |
| PARKER, BRIAN LANE | CHIEF COMPLIANCE OFFICER, ROSFP | 4635848 |
| PORZIO, JOSEPH JOHN | CFO / PFO / FINOP | 1319702 |
| RICHARDSON, MARCUS BRYANT | CHIEF OPERATING OFFICER | 3037932 |
| SMITH, PHILIP ANDREW | DIRECTOR, CHAIRMAN OF THE BOARD | 4999097 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 4 |
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.
