Guy 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.
Guy Ephesian Miller was a registered financial professional .
Guy is a previously registered financial professional and started their career in finance in 1987. Guy had worked at 10 firms and has passed the Series 63, SIE 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
March 17, 2003 - October 1, 2020
MISSIONSQUARE INVESTMENT SERVICES
January 26, 2000 - December 3, 2001
CITICORP INVESTMENT SERVICES
April 28, 1998 - December 23, 1999
ALLFIRST BROKERAGE CORPORATION
July 23, 1990 - January 1, 1997
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
July 23, 1990 - January 1, 1997
EQUITABLE ADVISORS, LLC
June 14, 1989 - January 1, 1990
JOSEPHTHAL & CO., INC.
May 9, 1989 - June 19, 1989
MOSTEL & TAYLOR SECURITIES INC.
March 7, 1989 - April 26, 1989
LEVCO SECURITIES CORP.
August 19, 1988 - March 10, 1989
INVESTORS CENTER, INC.
May 21, 1987 - August 6, 1988
BLINDER, ROBINSON & CO., INC.
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
MISSIONSQUARE INVESTMENT SERVICES
CRD#: 23189 / SEC#: , 8-40268
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INTERNATIONAL CITY MANAGEMENT ASSOCIATION RETIREMENT CORPORATION D/B/A MISSIONSQUARE RETIREMENT | MEMBER/OWNER | |
| GANEY, PETER DAVIDSON | MANAGER | 2282691 |
| HOGENDORN, SHANNON DANIEL | CHIEF OPERATIONS OFFICER | 3221945 |
| HOGENDORN, SHANNON DANIEL | PRINCIPAL MANAGER | 3221945 |
| RICHARDS, CLIFF LAWRENCE | CHIEF COMPLIANCE OFFICER | 2974428 |
| WHITTY, RICHARD PATRICK | TREASURER/FINOP | 1988149 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
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.
