Vincent J. Miller
Professional summary
Vincent John Miller was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Vincent is a previously registered financial professional and started their career in finance in 1988. Prior to being barred, Vincent had worked at 9 firms, which includes HAZARD & SIEGEL INC., CADARET GRANT & CO. INC., KEYBANC CAPITAL MARKETS INC., KEY INVESTMENTS INC., FIRST MONTAUK SECURITIES CORP., HSBC BROKERAGE (USA) INC., LINCOLN FINANCIAL DISTRIBUTORS INC., THE PRUDENTIAL INSURANCE COMPANY OF AMERICA, PRUCO SECURITIES LLC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 18, 2008 - February 25, 2008
HAZARD & SIEGEL, INC.
July 5, 2000 - December 31, 2007
CADARET, GRANT & CO., INC.
May 14, 1999 - July 14, 2000
KEYBANC CAPITAL MARKETS INC.
September 25, 1995 - May 14, 1999
KEY INVESTMENTS INC.
August 17, 1995 - September 14, 1995
FIRST MONTAUK SECURITIES CORP.
July 8, 1994 - April 7, 1995
HSBC BROKERAGE (USA) INC.
June 3, 1993 - June 27, 1994
LINCOLN FINANCIAL DISTRIBUTORS, INC.
September 26, 1988 - June 3, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
September 26, 1988 - June 3, 1993
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
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Exams
Current Firm
HAZARD & SIEGEL, INC.
CRD#: 2048 / SEC#: , 8-13942
Contact information
FINRA licenses (43 States and Territories)
Red Flags
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