Laura 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.
Laura Eileen Miller, who also goes by Laura Eileen Nolan, was a registered financial professional .
Laura is a previously registered financial professional and started their career in finance in 1987. Laura had worked at 10 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 17, 2020 - February 21, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
February 14, 2020 - February 21, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
June 22, 2010 - June 5, 2019
OSAIC FA, INC.
June 14, 2010 - June 5, 2019
OSAIC FS, INC.
March 14, 2008 - June 5, 2019
OSAIC FS, INC.
March 14, 2008 - June 5, 2019
OSAIC FA, INC.
May 19, 2006 - October 8, 2007
M FINANCIAL SECURITIES MARKETING, INC.
October 15, 2004 - October 8, 2007
M HOLDINGS SECURITIES, INC.
June 7, 1999 - July 10, 2002
PHOENIXLINK INVESTMENTS INC.
July 30, 1998 - January 15, 2002
CHARTER NEW ENGLAND AGENCY, INC.
January 1, 1997 - October 2, 1997
PHOENIXLINK INVESTMENTS INC.
March 27, 1990 - October 19, 1992
HOME LIFE INSURANCE COMPANY
March 27, 1990 - September 17, 2004
WS GRIFFITH SECURITIES, INC.
June 11, 1987 - March 24, 1990
SENTRA SECURITIES CORPORATION
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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
