Milton H. Luce
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.
Milton Hayes Luce JR, who also goes by Milton H Luce Jr, was a registered financial advisor .
Milton is a previously registered financial advisor and started their career in finance in 1966. Milton had worked at 5 firms and has passed the Series 4 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 11, 1997 - October 17, 2006
MILTON LUCE COMPANY
December 14, 1990 - November 19, 1991
GS2 SECURITIES, INC.
September 2, 1988 - April 4, 1989
UNDERWOOD, NEUHAUS & CO., INCORPORATED
April 13, 1983 - September 27, 1988
LM CONSOLIDATED FINANCIAL CORP.
September 8, 1966 - February 25, 1983
STIFEL, NICOLAUS & COMPANY, INCORPORATED
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 12
Date: 4/11/1967
NYSE Branch Manager ExaminationCurrent firm
No current employment
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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