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JM

Jeffrey W. Milne

Some features on this profile are disabled
CRD#: 3053601
JM

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.

Jeffrey William Milne was a registered financial professional .

Jeffrey is a previously registered financial professional and started their career in finance in 1998. Jeffrey had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 21, 2016 - December 31, 2018

CAPITAL SYNERGY PARTNERS

RIA
CRD#: 148733
WILMINGTON, NC
Past

July 21, 2016 - December 31, 2018

CAPITAL SYNERGY PARTNERS

BD
CRD#: 148733
WILMINGTON, NC
Past

March 1, 2011 - July 22, 2016

INVEST FINANCIAL CORPORATION

RIA
CRD#: 12984
WILMINGTON, NC
Past

February 19, 2010 - July 22, 2016

INVEST FINANCIAL CORPORATION

BD
CRD#: 12984
WILMINGTON, NC
Past

July 24, 2006 - February 24, 2010

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
WILMINGTON, NC
Past

May 15, 2000 - July 31, 2006

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

BD
CRD#: 611
WILMINGTON, NC
Past

May 18, 1999 - October 8, 1999

ROBERT W. BAIRD & CO. INCORPORATED

BD
CRD#: 8158
MILWAUKEE, WI
Past

August 26, 1998 - October 8, 1999

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
MILWAUKEE, WI

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
IAR
Series 66
Date: 2/28/2011
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 6/14/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/27/2007
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/25/1998
Investment Company Products/Variable Contracts Representative Examination

Current Firm

CS
CAPITAL SYNERGY PARTNERS
CAPITAL SYNERGY PARTNERS | CAPITAL SYNERGY PARTNERS, INC.

CRD#: 148733 / SEC#: 801-117828, 8-68060

RIA
Registered Investment Advisory firm - SEC (5/11/2020 Terminated)
Arizona
Registered Investment Advisory firm - SEC (4/4/2013 Approved)
Arkansas
Registered Investment Advisory firm - SEC (5/27/2011 Approved)
California
Registered Investment Advisory firm - SEC (5/23/2011 Approved)
Colorado
Registered Investment Advisory firm - SEC (11/5/2021 Terminated)
Connecticut
Registered Investment Advisory firm - SEC (7/9/2018 Approved)
District of Columbia
Registered Investment Advisory firm - SEC (5/5/2011 Approved)
Florida
Registered Investment Advisory firm - SEC (10/10/2017 Approved)
Georgia
Registered Investment Advisory firm - SEC (4/28/2011 Approved)
Idaho
Registered Investment Advisory firm - SEC (6/24/2011 Approved)
Indiana
Registered Investment Advisory firm - SEC (6/24/2013 Approved)
Iowa
Registered Investment Advisory firm - SEC (5/26/2011 Approved)
Louisiana
Registered Investment Advisory firm - SEC (1/10/2013 Approved)
Massachusetts
Registered Investment Advisory firm - SEC (9/26/2011 Approved)
Michigan
Registered Investment Advisory firm - SEC (1/18/2018 Approved)
Minnesota
Registered Investment Advisory firm - SEC (3/10/2015 Approved)
Missouri
Registered Investment Advisory firm - SEC (8/10/2018 Approved)
Montana
Registered Investment Advisory firm - SEC (12/22/2010 Approved)
Nebraska
Registered Investment Advisory firm - SEC (2/24/2012 Approved)
Nevada
Registered Investment Advisory firm - SEC (6/28/2012 Approved)
New Jersey
Registered Investment Advisory firm - SEC (3/29/2011 Approved)
North Carolina
Registered Investment Advisory firm - SEC (10/12/2011 Approved)
Ohio
Registered Investment Advisory firm - SEC (1/6/2012 Approved)
Oklahoma
Registered Investment Advisory firm - SEC (3/9/2018 Approved)
Oregon
Registered Investment Advisory firm - SEC (6/23/2015 Approved)
Pennsylvania
Registered Investment Advisory firm - SEC (3/5/2012 Approved)
South Carolina
Registered Investment Advisory firm - SEC (10/5/2011 Approved)
Texas
Registered Investment Advisory firm - SEC (10/26/2016 Approved)
Wisconsin
Registered Investment Advisory firm - SEC (8/1/2011 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
2860 Michelle Drive, Suite 150, Irvine, CA 92606
Mailing Address
2860 Michelle Drive, Suite 150, Irvine, CA 92606
Phone number
(949) 442-7413
Established
California since 01/14/1999
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees
21

FINRA licenses (50 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
ANDREW A. HOLDEN FAMILY TRUST 12/20/2000OWNER
EIDAROUS, REYHEENA MARIAFINOP4219599
GANDY, MATTHEW AUSTINPRINCIPAL7007855
HOLDEN, ANDREW ALANTRUSTEE & PRESIDENT3098455
SNIDER, RONALD EDWARDPRINICPAL2629896
STALEY, TIMOTHY ROYCHIEF COMPLIANCE OFFICER & AML OFFICER1663927

Regulatory assets under management

Total Number of Accounts386
AUM (Assets Under Management)$ 89,105,726

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

CAPITAL SYNERGY PARTNERS

CRD#: 148733

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