Wayne J. Miller
Professional summary
Wayne Jon Miller was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Wayne is a previously registered financial professional and started their career in finance in 1991. Prior to being barred, Wayne had worked at 4 firms, which includes U. S. PACIFIC FINANCIAL SERVICES INC., FIRST WALL STREET CORP., TDI INCORPORATED, THE TRADING DESK INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 28, 1997 - August 27, 2001
U. S. PACIFIC FINANCIAL SERVICES, INC.
September 30, 1994 - October 29, 1997
FIRST WALL STREET CORP.
January 8, 1993 - September 27, 1994
TDI, INCORPORATED
July 30, 1991 - November 9, 1994
THE TRADING DESK, INC.
State Registrations and Notice Filings
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Exams
Current Firm
U. S. PACIFIC FINANCIAL SERVICES, INC.
CRD#: 17423 / SEC#: , 8-35223
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
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