Roland P. 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.
Roland Peter Miller was a registered financial professional .
Roland is a previously registered financial professional and started their career in finance in 1986. Roland had worked at 4 firms and has passed the Series 63, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 12, 1998 - March 27, 2002
BOSTON INSTITUTIONAL SERVICES INCORPORATED
September 6, 1994 - March 1, 1995
REPUBLIC NEW YORK SECURITIES CORPORATION
April 11, 1990 - November 9, 1992
ITG EXECUTION SERVICES, INC.
October 13, 1986 - February 22, 1990
CAPIS
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 8
Date: 2/27/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BOSTON INSTITUTIONAL SERVICES INCORPORATED
CRD#: 5861 / SEC#: , 8-16412
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE BISYS GROUP, INC. | DIRECT OWNER | |
| BLODGETT, DONALD WARD JR | PRESIDENT, TREASURER, AND FIN-OP | 2518907 |
| FORMAN, EDWARD S. | SECRETARY & DIRECTOR | 4071395 |
| FOX, JAMES LAWRENCE | DIRECTOR | 2679534 |
| LYNCH, BRIAN FRANCIS | CHIEF COMPLIANCE OFFICER | 3089016 |
| MACCUNE, JEFFREY EDWARD | VICE PRESIDENT | 1428971 |
| MOORE, ROBERT PATRICK | VICE PRESIDENT | 2046209 |
| TOMKO, WILLIAM JACOB | VICE PRESIDENT/NYSE MEMBER | 1672349 |
Disclosures
| Regulatory Event | 1 |
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.
