Eric L. Miller
Professional summary
Eric Lee Miller is a registered financial professional currently at AXIOM CAPITAL MANAGEMENT, INC. located in New York, New York.
Eric is registered as a RR (Registered Representative) and started their career in finance in 1994. Eric has worked at 5 firms and has passed the Series 63, Series 52TO, Series 99TO, Series 79TO, SIE, Series 3, Series 7, Series 10, Series 9, Series 14, Series 53, Series 8, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Eric Lee Miller's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 11, 2004 - Present
AXIOM CAPITAL MANAGEMENT, INC.
Office #1: 350 Fifth Avenue Suite 6740, New York, NY 10118October 8, 2001 - November 21, 2002
LADENBURG THALMANN & CO. INC.
May 3, 1995 - November 21, 2002
LADENBURG CAPITAL MANAGEMENT INC.
June 24, 1994 - May 11, 1995
FIRST ASSET MANAGEMENT, INC.
February 11, 1994 - July 5, 1994
CIBC WORLD MARKETS CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/25/2004)
(1/7/2009)
(4/27/2017)
(7/1/2009)
(3/11/2004)
(3/23/2004)
(1/13/2009)
Exams
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 8
Date: 6/20/1994
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Nasdaq Stock Market
Current Firm
AXIOM CAPITAL MANAGEMENT, INC.
CRD#: 26580 / SEC#: , 8-42638
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Civil Event | 1 |
| Arbitration | 3 |
Red Flags
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