Ken 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.
Ken Miller, who also goes by Kenneth Harry Miller, Kenneth Miller, was a registered financial professional .
Ken is a previously registered financial professional and started their career in finance in 1993. Ken had worked at 6 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
November 27, 2012 - January 31, 2017
TENEO SECURITIES LLC
December 19, 2011 - October 18, 2012
ACP SECURITIES, LLC
November 27, 2006 - December 3, 2007
LEHMAN BROTHERS INC.
November 3, 2000 - July 25, 2001
PERSHING LLC
September 8, 1994 - July 25, 2001
CREDIT SUISSE SECURITIES (USA) LLC
February 25, 1993 - June 14, 1993
LODESTAR 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
TENEO SECURITIES LLC
CRD#: 151256 / SEC#: , 8-68354
Contact information
FINRA licenses (9 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TENEO CAPITAL CORPORATION | SOLE MEMBER | |
| BOGUSLASKI, CHARLES ROBERT | CHIEF OFFICER | 4845807 |
| HALLERAN, KRISTIN MARIE | CHIEF COMPLIANCE OFFICER | 4726430 |
| POLKOWITZ, GARY CRAIG | MEMBER OF BOARD OF DIRECTORS | 2866014 |
| ROTHENBERG, SHARI P | FINOP/PFO/POO | 6590875 |
| SULLIVAN, STEVEN MICHAEL | MEMBER OF BOARD OF DIRECTORS | 5162216 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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