Wai C. Miks
Professional summary
Wai Ching Miks, who also goes by Wai Lui, Wai C Miks, Wai Ching Miks, Wai Miks, is a registered financial professional currently at P.J. ROBB VARIABLE, LLC located in Harrisburg, Pennsylvania.
Wai is registered as a RR (Registered Representative) and started their career in finance in 1989. Wai has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Wai Ching Miks's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 12, 2024 - Present
P.J. ROBB VARIABLE, LLC
Office #1: 4135 North Front Street, Harrisburg, PA 17110June 14, 2024 - July 8, 2024
OSAIC WEALTH, INC.
May 21, 2024 - June 14, 2024
SECURITIES AMERICA, INC.
June 26, 2023 - May 31, 2024
THE LEADERS GROUP, INC.
February 3, 2021 - April 4, 2023
SAYBRUS EQUITY SERVICES, LLC
March 26, 2020 - January 20, 2021
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
June 27, 2013 - March 31, 2020
PRUCO SECURITIES, LLC.
December 10, 2010 - May 10, 2013
NYLIFE SECURITIES LLC
February 3, 2006 - November 26, 2010
WOODBURY FINANCIAL SERVICES, INC.
May 8, 2001 - December 31, 2003
WOODBURY FINANCIAL SERVICES, INC.
June 2, 1989 - November 26, 2010
WOODBURY FINANCIAL 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
(7/12/2024)
Exams
FINRA
Current Firm
P.J. ROBB VARIABLE, LLC
CRD#: 38339 / SEC#: , 8-48197
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CRUMP LIFE INSURANCE SERVICES, LLC | OWNER | |
| COLLINS, HEATHER MARIE | ASSISTANT TREASURER AND PRINCIPAL OPERATIONS OFFICER | 5851459 |
| CORDLE, COYE BAXTER III | CHIEF COMPLIANCE OFFICER, AML OFFICER & PRIVACY OFFICER | 4544954 |
| HARRISON, BRUCE ANDREW | PRESIDENT, CEO AND CHAIRMAN OF THE BOARD / DIRECTOR | 2232934 |
| MERCHANT, JEFFREY S | CHIIEF FINANCIAL OFFICER / TREASURER / PRINCIPAL FINANCIAL OFFICER / DIRECTOR | 4668892 |
| SCHUYLER, JOHN EDWIN | SECRETARY AND DIRECTOR | 1056044 |
| STAHLNECKER, ERIN ELIZABETH | ALTERNATE PRINCIPAL OPERATIONS OFFICER | 6606934 |
Red Flags
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