Jeffrey D. Miller
Professional summary
Jeffrey David Miller was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Jeffrey David Miller was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1969. Jeffrey had worked at 6 firms and has passed the SIE, Series 16, Series 41, Series 000, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 4, 2014 - April 6, 2017
LEK SECURITIES CORPORATION
October 23, 2014 - January 6, 2016
MITCHELL SECURITIES, INC.
July 7, 2000 - October 23, 2014
MILLER TABAK + CO., LLC
May 31, 1990 - July 6, 1998
NASDAQ EXECUTION SERVICES, LLC
April 15, 1982 - July 7, 2000
MILLER TABAK HIRSCH & CO.
July 3, 1969 - March 30, 1982
MABON, NUGENT & CO.
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 41
Date: 2/24/1977
NYSE Allied Member ExaminationSeries 000
Date: 7/1/1969
General Securities Principal ExaminationSeries 1
Date: 7/1/1969
Registered Representative ExaminationSeries 40
Date: 2/24/1977
Registered Principal ExaminationCurrent Firm
LEK SECURITIES CORPORATION
CRD#: 33135 / SEC#: , 8-42152
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 42 |
| Civil Event | 1 |
| Arbitration | 1 |
Red Flags
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