Miles U. Braufman
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.
Miles Usher Braufman was a registered financial professional .
Miles is a previously registered financial professional and started their career in finance in 1969. Miles had worked at 6 firms and has passed the Series 63, Series 7TO, SIE and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 12, 2006 - June 3, 2024
FELTL & COMPANY
September 27, 1996 - December 11, 2006
MILLER JOHNSON STEICHEN KINNARD, INC.
December 23, 1994 - September 27, 1996
MARCHE' SECURITIES, INC.
February 25, 1986 - December 13, 1994
COLLIERS SECURITIES LLC
April 25, 1973 - February 18, 1986
ENGLER-BUDD & COMPANY INC.
January 21, 1969 - April 13, 1973
J. SHAPIRO CO.
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: 1/2/2023
General Securities Representative ExaminationSeries 00
Date: 7/20/1972
General Securities Principal ExaminationCurrent Firm
FELTL & COMPANY
CRD#: 6905 / SEC#: 801-68779, 8-18435
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
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.
