Harry G. 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.
Harry Gerald Miller JR, who also goes by Harry Gerald (jr) Miller, Hod Miller, was a registered financial professional .
Harry is a previously registered financial professional and started their career in finance in 1969. Harry had worked at 11 firms and has passed the SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 1, 2010 - January 4, 2021
FIRST LIBERTIES FINANCIAL
May 15, 2003 - July 1, 2010
WORKMAN SECURITIES CORPORATION
May 10, 2002 - May 16, 2003
BRECEK & YOUNG ADVISORS, INC.
August 17, 1995 - May 16, 2002
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 30, 1994 - August 17, 1995
WOODBURY FINANCIAL SERVICES, INC.
October 15, 1992 - December 31, 1993
WOODBURY FINANCIAL SERVICES, INC.
July 29, 1988 - November 8, 1990
COZAD INVESTMENT SERVICES, INC.
April 6, 1983 - August 9, 1988
HORNOR, TOWNSEND & KENT, LLC
September 10, 1979 - October 30, 1981
MIDLAND MANAGEMENT CORP.
September 20, 1971 - November 3, 1977
NORTH STAR EQUITIES COMPANY
September 20, 1971 - October 13, 1979
THE MINNESOTA MUTUAL LIFE INSURANCE COMPANY
April 23, 1969 - October 3, 1971
TEIG KLENERT ROSS & CHICA INC
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 1
Date: 2/12/1969
Registered Representative ExaminationCurrent Firm
FIRST LIBERTIES FINANCIAL
CRD#: 14432 / SEC#: , 8-30673
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PELION FINANCIAL GROUP, INC. | OWNER | |
| BERGMAN, HILARY GUY | DIRECTOR, PRESIDENT, FINOP, AMLCO, & CHIEF COMPLIANCE OFFICER | 1834738 |
Disclosures
| Regulatory Event | 2 |
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.
