Patricia S. Miller
Professional summary
Patricia S Miller was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Patricia is a previously registered financial advisor and started their career in finance in 1992. Prior to being barred, Patricia had worked at 3 firms, which includes INVESTORS CAPITAL CORP., JANNEY MONTGOMERY SCOTT LLC, ADVEST INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 16, 2010 - May 21, 2014
INVESTORS CAPITAL CORP.
July 16, 2010 - May 21, 2014
INVESTORS CAPITAL CORP.
June 12, 2006 - July 27, 2010
JANNEY MONTGOMERY SCOTT LLC
March 8, 1996 - July 27, 2010
JANNEY MONTGOMERY SCOTT LLC
December 7, 1992 - February 29, 1996
ADVEST, INC.
State Registrations and Notice Filings
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Exams
Current Firm
INVESTORS CAPITAL CORP.
CRD#: 30613 / SEC#: 801-62341, 8-45054
Contact information
Disclosures
| Regulatory Event | 22 |
| Arbitration | 11 |
Red Flags
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