Michael S. 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.
Michael Sigmund Miller, who also goes by Michael Sigmund Miller Mr, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1992. Michael had worked at 11 firms and has passed the Series 63, Series 52TO, Series 99TO, Series 57TO, SIE, Series 55, 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
July 17, 2017 - May 7, 2024
CANTOR FITZGERALD & CO.
May 2, 2016 - July 17, 2017
CASTLEOAK SECURITIES, LP
September 25, 2012 - December 23, 2015
MACQUARIE CAPITAL (USA) INC.
April 26, 2010 - July 12, 2012
NOMURA SECURITIES INTERNATIONAL, INC.
February 9, 2009 - April 16, 2010
OPPENHEIMER & CO. INC.
May 2, 2006 - December 3, 2008
UBS SECURITIES LLC
March 11, 2005 - October 6, 2005
MORGAN STANLEY MARKET PRODUCTS INC.
March 31, 1998 - October 6, 2005
MORGAN STANLEY & CO. LLC
February 25, 1998 - March 31, 1998
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
April 28, 1995 - January 15, 1998
CLEARWATER SECURITIES, INC.
March 13, 1992 - March 10, 1995
J.P. MORGAN SECURITIES LLC
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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 3/14/2002
Limited Representative-Equity Trader ExamCurrent Firm
CANTOR FITZGERALD & CO.
CRD#: 134 / SEC#: , 8-201
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CFS CF & CO I HOLDINGS, L.P. | MANAGING GENERAL PARTNER | |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| BANDELIER, PASCAL DANIEL | CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF EQUITIES | 4424051 |
| CFLP CF&CO I HOLDINGS, L.P. | LIMITED PARTNER | |
| KELLY, SAGE NOLAN | CO-CHIEF EXECUTIVE OFFICER /GLOBAL HEAD OF INVESTMENT BANKING | 2528122 |
| MERKEL, STEPHEN MARCUS | EXECUTIVE MANAGING DIRECTOR, CHIEF LEGAL OFFICER, GENERAL COUNSEL & SECRETARY | 2366318 |
| SALINAS, DANNY | CHIEF FINANCIAL OFFICER | 6184109 |
| SHIELDS, WILLIAM MICHAEL | CHIEF COMPLIANCE OFFICER | 2380166 |
| WALL, CHRISTIAN DOUGLAS | CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF FIXED INCOME | 2751397 |
Disclosures
| Regulatory Event | 97 |
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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