Susan 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.
Susan Marie Miller, who also goes by Sue Marie Miller, Susan Marie Miller Wong, Harriett B Varney Miller, Susan Marie M Wong, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1994. Susan had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 7, 2014 - October 20, 2015
CAPITAL FINANCIAL SERVICES, INC.
April 1, 2014 - October 20, 2015
CAPITAL FINANCIAL SERVICES, INC.
February 9, 2004 - May 4, 2012
GLOBAL INVESTMENT ADVISORS, LLC
March 12, 2002 - May 4, 2012
ESSEX SECURITIES LLC
January 4, 2000 - February 27, 2002
INVESTORS CAPITAL CORP.
March 9, 1999 - January 10, 2000
IFMG SECURITIES, INC.
June 6, 1996 - March 5, 1999
INVESTORS CAPITAL CORP.
March 21, 1995 - June 17, 1996
NEW ENGLAND SECURITIES
February 27, 1995 - March 14, 1995
PRUCO SECURITIES, LLC.
August 31, 1994 - January 10, 1995
FORESIDE ASSOCIATES, 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
Current Firm
CAPITAL FINANCIAL SERVICES, INC.
CRD#: 8408 / SEC#: 801-24253, 8-25203
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPITAL FINANCIAL HOLDINGS, INC. | OWNER | |
| CHRISTIANSON, JOANNE MARIE | TREASURER | 5341634 |
| KAPPOTIS, ERNEST D | PRINCIPAL OPERATIONS OFFICER | 4871251 |
| KAPPOTIS, ERNEST D | PRINCIPAL FINANCIAL OFFICER | 4871251 |
| KAPPOTIS, ERNEST D | FINOP | 4871251 |
| POLLARD, DONALD ROBERT | PRESIDENT | 2181631 |
| POLLARD, DONALD ROBERT | CHIEF COMPLIANCE OFFICER | 2181631 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 5 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
