Harry M. 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.
Harry Michael Miller, who also goes by H Michael Miller, was a registered financial professional .
Harry is a previously registered financial professional and started their career in finance in 1992. Harry had worked at 12 firms and has passed the Series 63, SIE, Series 62, Series 7, Series 24 and Series 8 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, 2016 - October 3, 2016
LOOP CAPITAL MARKETS LLC
October 22, 2013 - May 27, 2015
NATWEST MARKETS SECURITIES INC.
October 10, 2012 - March 4, 2013
GLOBAL HUNTER SECURITIES, LLC
November 13, 2009 - March 19, 2012
COHEN & COMPANY SECURITIES, LLC
October 14, 2008 - November 23, 2009
PALI CAPITAL, INC.
July 7, 2004 - October 20, 2005
CIBC WORLD MARKETS CORP.
July 16, 2001 - July 15, 2004
BANC ONE CAPITAL MARKETS, INC.
January 14, 1999 - February 20, 2001
ABN AMRO INCORPORATED
October 1, 1998 - October 30, 1998
BANC OF AMERICA SECURITIES LLC
May 14, 1996 - October 1, 1998
BANCAMERICA SECURITIES, INC.
December 13, 1994 - May 13, 1996
NOMURA SECURITIES INTERNATIONAL, INC.
March 18, 1992 - December 8, 1994
UBS 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
Exams
Series 62
Date: 8/25/2009
Corporate Securities Limited Representative ExaminationSeries 8
Date: 5/15/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
LOOP CAPITAL MARKETS LLC
CRD#: 43098 / SEC#: , 8-50140
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 8 |
Red Flags
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