Joel W. 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.
Joel William Miller was a registered financial professional .
Joel is a previously registered financial professional and started their career in finance in 1973. Joel had worked at 7 firms and has passed the Series 63, SIE, Series 86, Series 87, Series 3, Series 5, Series 1, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 2, 2003 - January 12, 2021
MERRION SECURITIES, LLC
April 30, 1997 - October 3, 2003
BGC FINANCIAL, L.P.
May 20, 1992 - April 23, 1997
MERRION SECURITIES, LLC
March 22, 1989 - June 8, 1992
SCULLY BROTHERS & FOSS
October 14, 1982 - March 20, 1989
LAZARD FRERES & CO. LLC
February 27, 1980 - October 26, 1982
MORGAN STANLEY & CO. LLC
May 17, 1976 - February 27, 1980
MORGAN STANLEY & CO., INCORPORATED
June 7, 1973 - June 22, 1976
STUART BROTHERS
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 5
Date: 6/15/1982
Interest Rate Options ExaminationSeries 1
Date: 6/4/1973
Registered Representative ExaminationCurrent Firm
MERRION SECURITIES, LLC
CRD#: 30145 / SEC#: , 8-44770
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
Red Flags
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