Joseph R. 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.
Joseph Rollin Miller JR, who also goes by Joseph Roland Miller Jr, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1971. Joseph had worked at 5 firms and has passed the Series 7, Series 52, Series 53 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 31, 1993 - January 25, 2001
SECURITIES RESOLUTION CORPORATION
March 12, 1987 - July 31, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 30, 1984 - December 18, 1984
JM DISSOLUTION, INC.
October 4, 1983 - March 2, 1984
J. DAVID MUNICIPALS AND GOVERMENTS, INC.
April 15, 1976 - September 1, 1978
SECURITIES RESOLUTION CORPORATION
November 19, 1971 - July 28, 1980
MILLER & SCHROEDER SECURITIES, 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 00
Date: 10/14/1971
General Securities Principal ExaminationCurrent Firm
SECURITIES RESOLUTION CORPORATION
CRD#: 7119 / SEC#: , 8-20118
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| Arbitration | 4 |
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.
