Jason 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.
Jason Barnett Miller, who also goes by Jason B Miller, was a registered financial professional .
Jason is a previously registered financial professional and started their career in finance in 1997. Jason had worked at 4 firms and has passed the Series 63, Series 65, Series 55 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
June 2, 2016 - December 19, 2016
5W CAPITAL ADVISORS LLC
July 13, 2005 - January 20, 2006
FIRST NEW YORK SECURITIES L.L.C.
May 12, 1999 - September 15, 1999
INTL FCSTONE CREDIT TRADING LLC
April 25, 1997 - April 2, 1998
TD SECURITIES (USA) 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
Series 55
Date: 7/21/2005
Limited Representative-Equity Trader ExamCurrent Firm
5W CAPITAL ADVISORS LLC
CRD#: 283086 / SEC#:
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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