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Michael Miller

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CRD#: 2926728
MM

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.

Michael Miller, who also goes by Michael Hyman Miller, was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1997. Michael had worked at 8 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michael Hyman Miller

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

July 30, 2009 - April 16, 2021

PFE ADVISORS, INC.

RIA
CRD#: 144798
TOWSON, MD
Past

September 17, 2008 - July 23, 2009

GIRARD SECURITIES, INC.

BD
CRD#: 18697
MCLEAN, VA
Past

November 5, 2007 - September 18, 2008

OPPENHEIMER & CO. INC.

RIA
CRD#: 249
SAN FRANCISCO, CA
Past

April 15, 2003 - November 12, 2007

OPPENHEIMER ASSET MANAGEMENT

RIA
CRD#: 105559
NEW YORK, NY
Past

January 3, 2003 - April 15, 2003

OPPENHEIMER & CO. INC.

RIA
CRD#: 249
SAN FRANCISCO, CA
Past

January 3, 2003 - September 18, 2008

OPPENHEIMER & CO. INC.

BD
CRD#: 249
SAN FRANCISCO, CA
Past

November 15, 2002 - January 3, 2003

CIBC WORLD MARKETS CORP.

RIA
CRD#: 630
SAN FRANCISCO, CA
Past

November 15, 2002 - January 3, 2003

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

December 31, 1998 - December 2, 2002

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
SAN FRANCISCO, CA
Past

December 22, 1998 - December 2, 2002

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

November 5, 1998 - December 1, 1998

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

August 8, 1997 - August 19, 1998

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ

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
IAR
Series 65
Date: 11/18/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/18/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 11/4/1998
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/6/1997
Investment Company Products/Variable Contracts Representative Examination

Current Firm

PA
PFE ADVISORS, INC.
PFE ADVISORS, INC. | THE PFE GROUP | PFE ADVISORS,INC.

CRD#: 144798 / SEC#: 801-68292

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Contact information

Main Address
153 Cordaville Road Suite 230, Southborough, MA 01772
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

PFE ADVISORS, INC ADV PART 2A (3/31/2021)

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

PFE ADVISORS, INC.

CRD#: 144798

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