Thomas W. 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.
Thomas Walter Miller was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1985. Thomas had worked at 8 firms and has passed the Series 63 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
September 13, 2002 - November 23, 2005
INTEGRITY BROKERAGE, LLC
March 4, 2002 - September 3, 2002
CARDINAL CAPITAL MANAGEMENT, INC.
August 31, 2001 - November 26, 2001
BLUESTONE CAPITAL CORP.
November 10, 2000 - August 31, 2001
SSI SECURITIES CORP.
September 24, 1990 - January 2, 2001
GKN SECURITIES CORP.
June 20, 1988 - May 11, 1990
WELLSHIRE SECURITIES, INC.
August 14, 1986 - April 21, 1988
E. F. HUTTON & COMPANY INC
September 24, 1985 - July 22, 1986
MICHELIN AND COMPANY, 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
INTEGRITY BROKERAGE, LLC
CRD#: 117589 / SEC#: , 8-53604
Contact information
FINRA licenses (11 States and Territories)
Disclosures
| Regulatory Event | 3 |
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.
