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EM

Eric S. Miller

Some features on this profile are disabled
CRD#: 1554041
EM

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.

Eric Stevens Miller was a registered financial professional .

Eric is a previously registered financial professional and started their career in finance in 1986. Eric had worked at 16 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 3, 2023 - November 28, 2023

SAXONY SECURITIES, INC.

BD
CRD#: 115547
ST. LOUIS, MO
Past

March 22, 2021 - December 31, 2022

PATRICK CAPITAL MARKETS, LLC

BD
CRD#: 16518
Castle Rock, CO
Past

July 31, 2020 - March 23, 2021

COLORADO FINANCIAL SERVICE CORPORATION

BD
CRD#: 104343
CENTENNIAL, CO
Past

November 2, 2016 - September 28, 2018

PATRICK CAPITAL MARKETS, LLC

BD
CRD#: 16518
Corona del Mar, CA
Past

January 18, 2011 - February 13, 2015

PROVASI CAPITAL PARTNERS LP

BD
CRD#: 119539
DALLAS, TX
Past

November 11, 2010 - January 3, 2011

NEXBANK SECURITIES INC

BD
CRD#: 133267
DALLAS, TX
Past

January 12, 2006 - November 10, 2009

J.P. MORGAN INVESTMENT MANAGEMENT INC.

RIA
CRD#: 107038
NEW YORK, NY
Past

July 7, 2004 - December 31, 2005

JPMORGAN ASSET MANAGEMENT

RIA
CRD#: 107247
COLUMBUS, OH
Past

September 10, 2002 - August 2, 2010

JPMORGAN DISTRIBUTION SERVICES, INC.

BD
CRD#: 104234
NEW YORK, NY
Past

September 24, 1997 - August 30, 2002

STEPHENS

BD
CRD#: 3496
LITTLE ROCK, AR
Past

June 18, 1997 - October 1, 1997

PRINCETON EQUITY SECURITIES, INC.

BD
CRD#: 15374
NEW YORK, NY
Past

August 10, 1995 - January 17, 1996

BUTTONWOOD SECURITIES, INC.

BD
CRD#: 18420
NEW YORK, NY
Past

December 6, 1993 - March 20, 1995

ROSE SECURITIES CORPORATION

BD
CRD#: 20573
Past

February 3, 1992 - September 15, 1992

REALTA EQUITIES, INC.

BD
CRD#: 23769
WILMINGTON, DE
Past

August 27, 1990 - December 3, 1991

REALTA EQUITIES, INC.

BD
CRD#: 23769
WILMINGTON, DE
Past

June 5, 1987 - May 12, 1988

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
Past

February 2, 1987 - March 18, 1987

SHERWOOD CAPITAL, INC.

BD
CRD#: 10474
Past

September 24, 1986 - January 31, 1987

FIRST JERSEY SECURITIES, INC.

BD
CRD#: 6621

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/21/2004
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 8/21/1990
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/28/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/20/1990
General Securities Representative Examination

Current Firm

SS
SAXONY SECURITIES, INC.
SAXONY ADVISORS | SAXONY SECURITIES, INC. | SAXONY SECURITIES

CRD#: 115547 / SEC#: , 8-53490

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
11152 S Towne Square, St. Louis, MO 63123
Mailing Address
11152 S Towne Square, St. Louis, MO 63123
Phone number
(314) 963-9336
Established
Missouri since 07/13/2001
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SAXONY HOLDINGS, INC.SHAREHOLDER
KLUMP, RYAN CHRISTOPHERPRESIDENT4762698
MATARAZZI, NATHAN DOMENICOFINOP, PFO AND POO4827090
PALOS, KURT ROBERTCHIEF EXECUTIVE OFFICER6063745
PFEIFFER, STEPHANIE ANNCCO2278515

Disclosures

Regulatory Event2
Arbitration1

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.

Company Information

SAXONY SECURITIES, INC.

CRD#: 115547

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