Scott T. 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.
Scott T Miller, who also goes by Scott Timothy Miller, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1999. Scott had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 8, 2014 - June 25, 2015
1ST GLOBAL CAPITAL CORP.
December 17, 2012 - February 14, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 22, 1999 - March 15, 2012
CHARLES SCHWAB & CO., INC.
October 14, 1999 - October 28, 1999
IDS LIFE INSURANCE COMPANY
October 14, 1999 - October 28, 1999
AMERIPRISE FINANCIAL SERVICES, LLC
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
1ST GLOBAL CAPITAL CORP.
CRD#: 30349 / SEC#: , 8-44870
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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.
