Monica M. 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.
Monica Marie Miller was a registered financial professional .
Monica is a previously registered financial professional and started their career in finance in 1999. Monica had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 13, 2007 - July 22, 2019
PACIFIC CENTURY SECURITIES, LLC
February 24, 2003 - December 31, 2006
GOLDEN GATE FINANCIAL GROUP, LLC
June 28, 2002 - December 31, 2002
EPLANNING SECURITIES, INC.
January 12, 2000 - June 21, 2002
AURUM SECURITIES CORP.
April 23, 1999 - January 11, 2000
IDS LIFE INSURANCE COMPANY
April 23, 1999 - January 11, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
PACIFIC CENTURY SECURITIES, LLC
CRD#: 131607 / SEC#: , 8-66487
Contact information
FINRA licenses (14 States and Territories)
Red Flags
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