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CM

Christopher L. Miano

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CRD#: 2847056
CM

Professional summary

Christopher Lee Miano was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Christopher is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Christopher had worked at 1 firm, which includes ROYAL PALM INVESTMENTS LTD..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Chris Miano

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 26, 1997 - May 15, 1998

ROYAL PALM INVESTMENTS, LTD.

BD
CRD#: 28761
GREEN ACRES, FL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/3/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 2/7/1997
General Securities Representative Examination

Current Firm

RP
ROYAL PALM INVESTMENTS, LTD.
PCM SECURITIES LIMITED, L.P. | ROYAL PALM INVESTMENTS, LTD. | PCM SECURITIES, LTD.

CRD#: 28761 / SEC#: , 8-43951

BD
Cancelled by SEC on 06/13/2003
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 06/01/1991
Firm type
Partnership
Fiscal year end
December
# of Employees

Documents

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.

Company Information

ROYAL PALM INVESTMENTS, LTD.

CRD#: 28761

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