Justin L. 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.
Justin Lee Miller was a registered financial professional .
Justin is a previously registered financial professional and started their career in finance in 1999. Justin had worked at 8 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 17, 2012 - December 31, 2012
MONEY CONCEPTS CAPITAL CORP
January 17, 2012 - December 31, 2012
MONEY CONCEPTS CAPITAL CORP
April 27, 2010 - October 5, 2011
WRP INVESTMENTS, INC.
April 23, 2010 - October 5, 2011
WRP INVESTMENTS, INC.
January 23, 2009 - May 20, 2010
SECURITIES AMERICA ADVISORS, INC.
January 23, 2009 - April 30, 2010
SECURITIES AMERICA, INC.
May 22, 2007 - January 23, 2009
BRECEK & YOUNG ADVISORS, INC.
October 11, 2006 - January 23, 2009
BRECEK & YOUNG ADVISORS, INC.
September 22, 2005 - October 12, 2006
MONEY CONCEPTS CAPITAL CORP
September 22, 2005 - October 12, 2006
MONEY CONCEPTS CAPITAL CORP
March 2, 2005 - September 7, 2005
WELLS FARGO INVESTMENTS, LLC
January 7, 2005 - September 7, 2005
WELLS FARGO INVESTMENTS, LLC
April 14, 2000 - December 14, 2004
EQUITY SERVICES, INC.
March 12, 1999 - March 1, 2000
WELLS FARGO SECURITIES INC.
Primary Firm SEC Registration
MONEY CONCEPTS CAPITAL CORP
CRD#: 12963 / SEC#: 801-39736, 8-29671
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
Current Firm
MONEY CONCEPTS CAPITAL CORP
CRD#: 12963 / SEC#: 801-39736, 8-29671
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MONEY CONCEPTS INTERNATIONAL, INC | OWNS 100% OF MONEY CONCEPTS CAPITAL CORP. | |
| BARNETT, CHERYL MORRIS | VICE PRESIDENT | COMPLIANCE OFFICER | 1795785 |
| MATOS, LIZA MARIA | VICE PRESIDENT | COMPLIANCE OFFICER | 4371969 |
| RITTMAN, BARRY RICHARD | VICE PRESIDENT | CHIEF FINANCIAL OFFICER | 1997994 |
| WALSH, DENIS STEPHEN | PRESIDENT | CHIEF EXECUTIVE OFFICER | 1124278 |
| WALSH, JAMES EDWARD | VICE PRESIDENT | ADVERTISING AND COMMUNICATIONS | 2275368 |
| WALSH, MARY THERESE | SR VICE PRESIDENT | CHIEF COMPLIANCE OFFICER | 2829444 |
Regulatory assets under management
| Total Number of Accounts | 14,898 |
| AUM (Assets Under Management) | $ 3,328,625,395 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 3 |
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.
