Thomas 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.
Thomas Whitmire Miller III, who also goes by Thomas Whitmire Miller, Tommy Miller, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1994. Thomas had worked at 10 firms and has passed the Series 66, Series 65, Series 63, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 2, 2013 - April 22, 2014
BB&T SECURITIES, LLC
April 2, 2013 - April 22, 2014
BB&T SECURITIES, LLC
April 11, 2012 - April 2, 2013
MORGAN STANLEY
March 14, 2012 - April 2, 2013
MORGAN STANLEY
March 28, 2006 - February 21, 2007
BB&T INVESTMENT SERVICES, INC.
March 28, 2006 - February 21, 2007
BB&T INVESTMENT SERVICES, INC.
July 14, 2004 - January 19, 2006
WELLS FARGO CLEARING SERVICES, LLC
July 14, 2004 - January 19, 2006
WELLS FARGO CLEARING SERVICES, LLC
November 21, 2002 - July 1, 2004
FIRST CITIZENS INVESTOR SERVICES, INC.
November 5, 2002 - July 1, 2004
FIRST CITIZENS INVESTOR SERVICES, INC.
December 5, 2001 - October 30, 2002
NATIONWIDE SECURITIES, LLC
March 7, 2001 - November 28, 2001
SCOTT & STRINGFELLOW, LLC
July 2, 1998 - March 7, 2001
EDGAR M. NORRIS & CO., INC.
May 27, 1998 - June 18, 1998
EDGAR M. NORRIS & CO., INC.
February 16, 1995 - June 8, 1998
WACHOVIA SECURITIES, INC.
September 19, 1994 - January 18, 1995
EDWARD JONES
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
BB&T SECURITIES, LLC
CRD#: 142785 / SEC#: 801-77145, 8-67486
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRUIST FINANCIAL CORPORATION | SOLE MEMBER | |
| CRAM, BRYAN SCOTT | CHIEF EXECUTIVE OFFICER/BOARD OF MANAGERS | 2723431 |
| HECHTLINGER, SUSAN | CHIEF COMPLIANCE OFFICER/ BOARD OF MANAGERS | 2890466 |
| MCCALLUM, CHARLES FALCONER III | HEAD OF SUPERVISION/BOARD OF MANAGERS | 2697260 |
| RIP, OLGA | PRINCIPAL FINANCIAL OFFICER | 5440553 |
| SPEETJENS, FELICIA ANN | HEAD OF PRODUCT/BOARD OF MANAGERS | 3197366 |
| TYSON, TONYA BELFIELD | PRINCIPAL OPERATIONS OFFICER | 1987448 |
Disclosures
| Regulatory Event | 49 |
| Civil Event | 1 |
| Arbitration | 1 |
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.
