Philip J. 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.
Philip John Miller was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1973. Philip had worked at 5 firms and has passed the Series 65, Series 63 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
June 29, 2012 - February 24, 2015
SCHOLTZ & COMPANY, LLC
October 26, 1999 - April 5, 2000
NICHOLAS-APPLEGATE SECURITIES LLC
June 7, 1978 - July 27, 1998
CITIGROUP GLOBAL MARKETS INC.
November 5, 1973 - July 12, 1978
DOMIK CORP.
August 21, 1973 - October 26, 1973
LOMBARD NELSON MC KENNA INC
Primary Firm SEC Registration
SCHOLTZ & COMPANY, LLC
CRD#: 107363 / SEC#: 801-77840
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: 8/16/1973
Registered Representative ExaminationCurrent Firm
SCHOLTZ & COMPANY, LLC
CRD#: 107363 / SEC#: 801-77840
Contact information
SEC notice filing (11 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 362 |
| AUM (Assets Under Management) | $ 313,673,404 |
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.
