Jonathan P. 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.
Jonathan Paul Miller, who also goes by Jon Miller, was a registered financial professional .
Jonathan is a previously registered financial professional and started their career in finance in 1996. Jonathan had worked at 4 firms and has passed the Series 65, Series 66, Series 63, Series 55, Series 7, Series 24, Series 10, Series 9 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 6, 2018 - December 31, 2023
GROW GIVE BUILD INVESTMENTS LLC
June 3, 1999 - March 31, 2003
FIDELITY BROKERAGE SERVICES LLC
April 18, 1997 - January 29, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 13, 1996 - April 21, 1997
PRUDENTIAL EQUITY GROUP, 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 55
Date: 9/21/2001
Limited Representative-Equity Trader ExamCurrent Firm
GROW GIVE BUILD INVESTMENTS LLC
CRD#: 296745 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 12,156 |
Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| California | ERA - Withdrawn | 4/30/2018 |
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.
