Glen E. Miller
Professional summary
Glen Eugene Miller was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Glen is a previously registered financial professional and started their career in finance in 1986. Prior to being barred, Glen had worked at 7 firms, which includes 1717 CAPITAL MANAGEMENT COMPANY, MOMENTUM INDEPENDENT NETWORK INC., SENTRA SECURITIES CORPORATION, JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY, SIGNATOR INVESTORS INC., GREEN HILL FINANCIAL SERVICE CORPORATION, NYLIFE SECURITIES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 6, 1998 - June 21, 1999
1717 CAPITAL MANAGEMENT COMPANY
January 26, 1996 - December 31, 1997
MOMENTUM INDEPENDENT NETWORK INC.
December 7, 1994 - January 23, 1996
SENTRA SECURITIES CORPORATION
December 16, 1991 - January 6, 1994
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
December 16, 1991 - January 6, 1994
SIGNATOR INVESTORS, INC.
June 3, 1991 - December 20, 1991
GREEN HILL FINANCIAL SERVICE CORPORATION
May 2, 1986 - June 5, 1991
NYLIFE SECURITIES LLC
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
1717 CAPITAL MANAGEMENT COMPANY
CRD#: 4082 / SEC#: , 8-14657
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
| Bond | 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.
