Joseph H. Millo
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.
Joseph Howard Millo, who also goes by Joe Millo, Joseph H Millo, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1995. Joseph had worked at 10 firms and has passed the Series 63, Series 65, Series 7TO, Series 6TO, 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
May 10, 2024 - December 31, 2024
THE LEADERS GROUP, INC.
April 24, 2019 - June 30, 2020
SKYWAY CAPITAL MARKETS, LLC
July 25, 2012 - March 14, 2019
EMPOWER FINANCIAL SERVICES, INC.
February 2, 2011 - January 17, 2012
GRUBB & ELLIS CAPITAL CORPORATION
October 25, 2010 - August 9, 2011
GRUBB & ELLIS SECURITIES, INC.
December 18, 2009 - July 20, 2010
PRIORITY CAPITAL INVESTMENTS, LLC
December 1, 2004 - February 27, 2009
CETERA INVESTMENT ADVISERS LLC
May 14, 2004 - February 27, 2009
CAPITAL BROKERAGE CORPORATION
March 12, 2003 - March 25, 2004
AMERICAN SKANDIA ADVISORY SERVICES, INC.
February 21, 1995 - May 20, 2004
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
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 7TO
Date: 1/16/2024
General Securities Representative ExaminationSeries 6TO
Date: 1/16/2024
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
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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