Jack F. 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.
Jack Frederick Miller was a registered financial professional .
Jack is a previously registered financial professional and started their career in finance in 1996. Jack had worked at 8 firms and has passed the Series 65, Series 63 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
August 21, 2012 - January 14, 2013
A.G.P. / ALLIANCE GLOBAL PARTNERS
August 21, 2012 - January 14, 2013
A.G.P. / ALLIANCE GLOBAL PARTNERS
October 2, 2008 - May 26, 2011
A.G.P. / ALLIANCE GLOBAL PARTNERS
June 12, 2007 - January 23, 2008
AVANTAX INVESTMENT SERVICES, INC.
February 1, 2007 - April 2, 2007
WELLS FARGO CLEARING SERVICES, LLC
February 1, 2007 - April 2, 2007
WELLS FARGO CLEARING SERVICES, LLC
April 19, 2006 - February 1, 2007
ATLAS SECURITIES, LLC
September 5, 2005 - October 5, 2005
DUNHAM
November 13, 2001 - September 22, 2004
NATCITY INVESTMENTS, INC.
November 3, 1997 - December 31, 2000
DEAM INVESTOR SERVICES, INC.
August 16, 1996 - September 10, 1996
CENTEX SECURITIES, INCORPORATED
Primary Firm SEC Registration
A.G.P. / ALLIANCE GLOBAL PARTNERS
CRD#: 8361 / SEC#: 801-70276, 8-25132
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
A.G.P. / ALLIANCE GLOBAL PARTNERS
CRD#: 8361 / SEC#: 801-70276, 8-25132
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANCE GLOBAL HOLDINGS, INC. | HOLDING COMPANY | |
| GAMBARDELLA, RAFFAELE | COO/CHIEF RISK OFFICER | 2448073 |
| HIGGINS, THOMAS JOSEPH | PRINCIPAL OPERATIONS OFFICER | 1477505 |
| KLEIN, CRAIG ERIN | CFO, PRINCIPAL FINANCIAL OFFICER | 3253836 |
| LAURIELLO, ANTHONY JOSEPH | MUNICIPAL SECURITIES PRINCIPAL | 1086881 |
| MICHALS, PHILLIP WILLIAM | CHIEF EXECUTIVE OFFICER | 2414124 |
| VENEZIA, JOHN JOSEPH | CHIEF COMPLIANCE OFFICER - BROKER DEALER, RIA | 2737135 |
Regulatory assets under management
| Total Number of Accounts | 6,959 |
| AUM (Assets Under Management) | $ 2,300,125,872 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 3 |
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.
