Jack E. 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.
Jack Edward Miller was a registered financial professional .
Jack is a previously registered financial professional and started their career in finance in 1986. Jack had worked at 8 firms and has passed the Series 66, 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
May 23, 2011 - December 31, 2013
KMS FINANCIAL SERVICES, INC.
May 23, 2011 - December 31, 2013
KMS FINANCIAL SERVICES, INC.
January 26, 2011 - April 29, 2011
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
January 24, 2011 - April 29, 2011
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 13, 2007 - January 26, 2011
EDWARD JONES
August 3, 2001 - January 26, 2011
EDWARD JONES
January 7, 1993 - June 6, 2000
A. G. EDWARDS & SONS, INC.
June 26, 1990 - January 12, 1993
PUGET SOUND SECURITIES, INC.
April 26, 1988 - June 28, 1990
KIDDER, PEABODY & CO. INCORPORATED
August 21, 1986 - May 3, 1988
MORGAN STANLEY DW 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
KMS FINANCIAL SERVICES, INC.
CRD#: 3866 / SEC#: 801-11375, 8-15433
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVISOR GROUP HOLDINGS, INC. | SHAREHOLDER | |
| BRETON, BERNARD ANDRE | CHIEF COMPLIANCE OFFICER | 2030660 |
| FORD, ERINN JUNE | PRESIDENT & CEO | 2176816 |
| HARRINGTON, LINDA LEE | VICE PRESIDENT OF ADVISORY COMPLIANCE | 4173014 |
| SIMS, JEFFREY SCOTT | CFO, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3247374 |
| ZELLERHOFF, MARK CHRISTOPHER | SENIOR VICE PRESIDENT OF OPERATIONS | 2853977 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
| Bond | 2 |
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.
