Thomas D. 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.
Thomas Daffron Miller JR, who also goes by Thomas Daffron Miller, Thomas Miller, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1992. Thomas had worked at 5 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
February 22, 2017 - May 8, 2025
SOUTH STREET SECURITIES LLC
October 28, 2014 - June 18, 2015
STERNE, AGEE & LEACH, INC.
March 21, 2012 - March 8, 2013
PIERPONT CAPITAL ADVISORS LLC
May 14, 2010 - March 23, 2012
SOUTH STREET SECURITIES LLC
August 23, 1994 - February 14, 1997
DB ALEX. BROWN LLC
July 13, 1992 - August 17, 1994
CITICORP SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
SOUTH STREET SECURITIES LLC
CRD#: 125202 / SEC#: , 8-65770
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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