Gordon I. 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.
Gordon Ivan Miller JR, who also goes by Gordon IVan Miller, was a registered financial professional .
Gordon is a previously registered financial professional and started their career in finance in 1987. Gordon had worked at 4 firms and has passed the 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
December 7, 2010 - January 22, 2015
ALTO SECURITIES, LLC
January 6, 1995 - November 19, 2001
WILKINSON BOYD CAPITAL MARKETS, INC
April 14, 1992 - October 29, 1992
NATIXIS SECURITIES NORTH AMERICA INC.
July 2, 1987 - June 1, 1989
CHASE SECURITIES, 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
ALTO SECURITIES, LLC
CRD#: 153384 / SEC#: , 8-68530
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LINDENKOHL HOLDINGS, LLC | MEMBER | |
| DORFMAN FOSTER, ESTEE | FINOP/CFO | 2696529 |
| MILLER, GORDON IVAN JR | MANAGER/PRINCIPAL | |
| TAI, HINKING | CHIEF COMPLIANCE OFFICER |
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.
