John S. 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.
John Stuart Miller, who also goes by Stuart Miller, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1988. John had worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 28 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 11, 2007 - November 20, 2015
COLONNADE SECURITIES LLC
January 23, 1993 - April 22, 1999
JPMSI
October 19, 1988 - April 3, 1992
CREDIT SUISSE SECURITIES (USA) LLC
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 28
Date: 8/31/2007
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
COLONNADE SECURITIES LLC
CRD#: 144771 / SEC#: , 8-67673
Contact information
FINRA licenses (2 States and Territories)
Documents
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.
