Miles T. Healey
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.
Miles Thompson Healey was a registered financial professional .
Miles is a previously registered financial professional and started their career in finance in 1995. Miles had worked at 10 firms and has passed the Series 65, Series 63, 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
September 19, 2012 - October 4, 2013
INVESTMENT PLANNERS, INC.
July 27, 2012 - February 27, 2013
IPI WEALTH MANAGEMENT, INC.
January 23, 2003 - December 31, 2003
NUVEEN INVESTMENTS ADVISERS, LLC
May 24, 2002 - December 31, 2003
RITTENHOUSE ASSET MANAGEMENT, INC.
May 24, 2002 - August 6, 2010
NUVEEN FUND ADVISORS, LLC
February 28, 2002 - August 6, 2010
NUVEEN SECURITIES, LLC
June 17, 1999 - December 31, 2001
FUNDS DISTRIBUTOR, LLC
September 26, 1997 - June 11, 1999
IVY DISTRIBUTORS, INC.
January 16, 1996 - August 6, 1997
DELAWARE DISTRIBUTORS, L.P.
January 12, 1995 - December 15, 1995
FIRST UNION CAPITAL 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
Exams
Current Firm
INVESTMENT PLANNERS, INC.
CRD#: 18557 / SEC#: , 8-35642
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory 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.
