John F. Miller Jr
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.
John F Miller Jr, who also goes by Jack Miller, John Frederick Miller Jr, John Frederick Miller, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1986. John had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 28, 2011 - August 11, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 26, 2011 - August 11, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 22, 2009 - October 3, 2011
TRUIST INVESTMENT SERVICES, INC.
September 17, 2009 - October 3, 2011
TRUIST INVESTMENT SERVICES, INC.
August 30, 2007 - June 17, 2009
COMERICA SECURITIES
August 28, 2007 - June 17, 2009
COMERICA SECURITIES
July 21, 2006 - July 20, 2007
UVEST FINANCIAL SERVICES GROUP, INC.
July 12, 2006 - July 20, 2007
UVEST FINANCIAL SERVICES GROUP, INC.
April 25, 1996 - July 12, 2006
TRUIST INVESTMENT SERVICES, INC.
December 12, 1995 - July 12, 2006
TRUIST INVESTMENT SERVICES, INC.
May 21, 1993 - December 19, 1994
TRUIST INVESTMENT SERVICES, INC.
October 26, 1990 - October 4, 1991
FUNDMARK INVESTMENT COMPANY SERVICES, INC.
September 28, 1990 - February 26, 1993
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
May 23, 1989 - October 3, 1990
G. K. SCOTT & CO., INC.
September 26, 1988 - May 30, 1989
TRANSCO SECURITIES
December 23, 1986 - October 1, 1988
GRAYSTONE NASH, INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
