Sharon A. 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.
Sharon Annette Miller, who also goes by Sharon Annette Patterson, Sharon Annette Skaggs, was a registered financial professional .
Sharon is a previously registered financial professional and started their career in finance in 1987. Sharon had worked at 7 firms and has passed the Series 66, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 30, 2009 - July 31, 2017
SII INVESTMENTS, INC.
February 19, 2009 - July 31, 2017
SII INVESTMENTS, INC.
September 19, 2003 - February 20, 2009
TRANSAMERICA FINANCIAL ADVISORS, LLC
September 12, 2003 - February 20, 2009
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 11, 2003 - September 12, 2003
HIGH MARK SECURITIES, INC.
October 22, 2001 - September 12, 2003
HIGH MARK SECURITIES, INC.
June 13, 2000 - October 25, 2001
USALLIANZ SECURITIES, INC.
December 2, 1998 - June 12, 2000
MEDALLION INVESTMENT SERVICES, INC.
August 22, 1997 - December 3, 1998
SECURITIES SERVICE NETWORK, LLC
October 19, 1987 - December 20, 1989
AVANTAX INVESTMENT SERVICES, 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
SII INVESTMENTS, INC.
CRD#: 2225 / SEC#: 801-54935, 8-13963
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VP, NPH PRODUCT AND SPONSOR RELATIONS | 4298287 |
| COLLINS, MAURA KATHRYN | SVP/CFO NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT AND CEO OF NPH | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL & SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| KALINOWSKI, DAWN MARIE | SVP, COO | 2770565 |
| KINART, TODD MICHAEL | SII PRESIDENT & CEO/DIRECTOR | 2723511 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP, FINOP & CONTROLLER | 4800775 |
| MCCALLOP, PATRICIA ANN | NPH AND SII SVP & CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP OPERATIONS | 1955960 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 9 |
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.
