Anthony W. 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.
Anthony Wayne Miller, who also goes by Anthony W Miller, Tony Miller, was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 1992. Anthony had worked at 22 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 7, Series 10, Series 9, Series 24, Series 4 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 22, 2023 - December 31, 2023
THE LEADERS GROUP, INC.
August 8, 2019 - October 28, 2019
ADVANCED ADVISOR GROUP, LLC
August 1, 2018 - April 5, 2019
J.P. MORGAN SECURITIES LLC
August 4, 2017 - June 27, 2018
CAPITAL ONE INVESTING, LLC
January 20, 2016 - May 18, 2016
EFS ADVISORS
January 6, 2016 - May 18, 2016
ADVANCED ADVISOR GROUP, LLC
January 17, 2013 - October 6, 2015
TD AMERITRADE CLEARING, INC.
January 27, 2006 - October 6, 2015
TD AMERITRADE, INC.
August 3, 2004 - January 31, 2006
TD AMERITRADE CLEARING, INC.
July 28, 2004 - January 31, 2006
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
March 1, 2002 - August 28, 2002
WHITE PACIFIC SECURITIES, INC.
January 24, 2002 - February 5, 2002
INTEGRITY TRADING, INC.
May 3, 2001 - May 10, 2001
EXT ELECTRONIC EXCHANGE TRADING, INC.
November 3, 2000 - May 9, 2001
TRAVIS MORGAN SECURITIES INC.
June 15, 2000 - October 23, 2000
INVESTIN SECURITIES CORP.
April 21, 1999 - June 14, 2000
SCOTTRADE, INC.
May 1, 1998 - April 28, 1999
AVANTAX INVESTMENT SERVICES, INC.
January 8, 1998 - April 18, 1998
BANC ONE SECURITIES CORPORATION
May 22, 1997 - October 20, 1997
KEY INVESTMENTS INC.
May 13, 1996 - November 20, 1996
SUNPOINT SECURITIES, INC.
November 24, 1995 - March 20, 1996
FIRST SECURITY INVESTOR SERVICES, INC.
February 12, 1993 - June 6, 1995
FIDELITY BROKERAGE SERVICES LLC
November 3, 1992 - January 19, 1993
U.S. SECURITIES CLEARING CORP.
July 14, 1992 - October 15, 1992
J.P. MORGAN SECURITIES LLC
January 17, 1992 - June 29, 1992
H.J. MEYERS & 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: 8/23/2000
Limited Representative-Equity Trader ExamCurrent Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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