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BM

Bryan S. Miller

OBERON SECURITIES
New York, NY 10022
Some features on this profile are disabled
CRD#: 3141421
BM

Professional summary

Bryan S Miller is a registered financial professional currently at OBERON SECURITIES, LLC located in New York, New York.

Bryan is registered as a RR (Registered Representative) and started their career in finance in 2001. Bryan has worked at 9 firms and has passed the Series 63, Series 79TO, Series 55 and Series 7 exams.

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) - BD

Click below to view Bryan S Miller's CRS (Customer Relationship Summary).

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

Current

May 28, 2024 - Present

OBERON SECURITIES, LLC

Office #1: 445 Park Avenue, Suite 4b,, New York, NY 10022
BD
CRD#: 132598
New York, NY
Past

May 3, 2010 - September 7, 2010

RAFFERTY CAPITAL MARKETS, LLC

BD
CRD#: 23682
NEW YORK, NY
Past

March 2, 2009 - October 15, 2009

WELLS FARGO PRIME SERVICES, LLC

BD
CRD#: 133068
NEW YORK, NY
Past

August 10, 2007 - February 11, 2009

CANACCORD GENUITY SECURITIES LLC

BD
CRD#: 24790
NEW YORK, NY
Past

November 10, 2006 - August 10, 2007

COLLINS STEWART INC.

BD
CRD#: 47414
NEW YORK, NY
Past

January 8, 2005 - December 5, 2006

TULLETT PREBON FINANCIAL SERVICES LLC

BD
CRD#: 28196
NEW YORK, NY
Past

October 23, 2001 - November 28, 2001

STEVENS, ALAN BEN

BD
CRD#: 37776
NEW YORK, NY
Past

October 23, 2001 - January 21, 2005

BURLINGTON CAPITAL MARKETS INC.

BD
CRD#: 26991
NEW YORK, NY
Past

April 16, 2001 - July 17, 2001

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(5/29/2024)
RR
New York
(7/23/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 7/22/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 4/30/2024
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 55
Date: 8/2/2004
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 4/14/2001
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

OS
OBERON SECURITIES, LLC
OBERON SECURITIES, LLC

CRD#: 132598 / SEC#: , 8-66607

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
445 Park Avenue, Suite 4b, New York, NY 10022
Mailing Address
445 Park Avenue, Suite 4b, New York, NY 10022
Phone number
(212) 386-7080
Established
New York since 04/11/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (22 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
OBERON MANAGEMENT, LLCMEMBER
BRESLAWSKY, ADAM SCOTTMANAGER2522542
EPSTEIN, ELADFINOP, MANAGER, ACO2731183
SCHMIDT, NICOLE ALEXANDRACCO, MANAGER2686117

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

OBERON SECURITIES, LLC

CRD#: 132598New York, NY 10022

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