Edward 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.
Edward Miller, who also goes by Edward Henry Miller III, Ned Miller III, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1990. Edward had worked at 7 firms and has passed the Series 63, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 1, 2012 - January 23, 2013
WEEDEN & CO.L.P.
March 31, 2009 - August 19, 2010
COWEN SECURITIES LLC
June 30, 2006 - December 3, 2007
MORGAN STANLEY DISTRIBUTION, INC.
February 24, 2000 - July 11, 2006
MORGAN STANLEY & CO. LLC
September 6, 1996 - February 10, 2000
SOUNDVIEW TECHNOLOGY CORPORATION
April 5, 1995 - September 5, 1996
LEXINGTON FUNDS DISTRIBUTOR, INC.
March 7, 1992 - July 21, 1994
SOUNDVIEW TECHNOLOGY CORPORATION
March 20, 1990 - April 17, 1990
F.N. WOLF & CO., 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
Series 55
Date: 3/29/2000
Limited Representative-Equity Trader ExamCurrent Firm
WEEDEN & CO.L.P.
CRD#: 16835 / SEC#: 801-57163, 8-37267
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PIPER JAFFRAY COMPANIES | 100% OWNER | |
| MCCAGUE, ANNCHARLOTTE | CHIEF COMPLIANCE OFFICER | 1108448 |
Disclosures
| Regulatory Event | 13 |
Red Flags
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.
