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Albert Ralph Miller Iii

CRD# 1940971·Registered 1989 - 2018
Previously Registered: Being a previously registered professional could mean that Albert 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.

Professional Summary

Albert Ralph Miller III, who also goes by Albert Ralph Miller, Ralph Miller, was a registered financial advisor. Albert was a previously registered financial professional and started their career in finance 1989 - 2018. Albert had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Albert Ralph Miller, Ralph Miller

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

37 years in the financial services industry

Current & Past Employments

KINGSBURY CAPITAL, INC.·CRD# 7638
BD
Evanston, IL
March 2, 2007 - March 13, 2018
LASALLE ST. INVESTMENT ADVISORS, L.L.C.·CRD# 109701
RIA
Elmhurst, IL
January 10, 2006 - October 24, 2006
LASALLE ST SECURITIES, L.L.C.·CRD# 7191
BD
South Holland, IL
September 28, 1999 - October 24, 2006
TARPON SCURRY INVESTMENTS, INC.·CRD# 34635
BD
New York, NY
January 3, 1995 - September 24, 1999
MORGAN STANLEY DW INC.·CRD# 7556
BD
Purchase, NY
May 23, 1989 - November 11, 1994

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Current Firm

KC
KINGSBURY CAPITAL, INC.

BLITZ, EDWIN C. | KINGSBURY CAPITAL, INC. | EDWIN C. BLITZ INVESTMENTS, INC. | EDWIN C. BLITZ INVESTMENTS

CRD#: 7638 / SEC#: 8-22741
BD
Terminated by SEC on 02/09/2020

Contact Information

Established

Illinois since 12/20/2000

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
KINGSBURY HOLDINGS, INC.SOLE SHAREHOLDER—
FINNERTY, DANIEL GERARDFINOP5602437
VELLON, WILLIAM DAVIDPRESIDENT1954258
WOLMARK, ASHER DOVCHIEF COMPLIANCE OFFICER2064857

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Dec 2005About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Jun 1989About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Mar 2018About the SIE exam

Series 3 — National Commodity Futures Examination

Passed Nov 1989About the Series 3 exam

Series 7 — General Securities Representative Examination

Passed May 1989About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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