Robert E. 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.
Robert Edward Miller was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1999. Robert had worked at 2 firms and has passed the Series 21 and Series 25 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 14, 2005 - August 30, 2006
SLL SECURITIES INC
April 8, 1999 - February 10, 2005
LABRANCHE & CO. 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
Series 21
Date: 5/16/2000
NYSE Front Line Specialist ClerkSeries 25
Date: 2/22/2000
NYSE Trading Assistant ExaminationCurrent Firm
SLL SECURITIES INC
CRD#: 32859 / SEC#: , 8-42436
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEVINSON , STEVEN | PRESIDENT | 601057 |
| SILVER, ANDREW GARY | FINOP |
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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