Patrick J. 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.
Patrick James Miller, who also goes by Patrick J Miller, was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1987. Patrick had worked at 6 firms and has passed the Series 63, Series 99TO, Series 6TO, SIE, Series 7, Series 6, Series 26 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
May 26, 2015 - December 8, 2015
REALTY CAPITAL SECURITIES, LLC
September 28, 2010 - September 4, 2024
STRATCAP SECURITIES, LLC
February 24, 2006 - May 1, 2009
KBS CAPITAL MARKETS GROUP LLC
March 10, 1997 - September 5, 2001
EQUITABLE DISTRIBUTORS, LLC
February 11, 1995 - July 1, 1996
FIDELITY DISTRIBUTORS COMPANY LLC
February 5, 1987 - December 2, 1994
CAPITAL CLIENT GROUP, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
REALTY CAPITAL SECURITIES, LLC
CRD#: 145454 / SEC#: , 8-67727
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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