Walter I. 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.
Walter Irwin Miller was a registered financial advisor .
Walter is a previously registered financial advisor and started their career in finance in 1970. Walter had worked at 7 firms and has passed the Series 63, Series 1, F04 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
April 4, 2008 - August 22, 2011
CAPITAL GROWTH PLANNING ADVISORS, INC.
January 20, 1994 - July 29, 1994
U.S. SECURITIES CLEARING CORP.
September 25, 1979 - November 2, 2011
CAPITAL GROWTH RESOURCES
October 13, 1978 - October 24, 1979
FINANCIAL PLANNERS EQUITY CORPORATION
June 15, 1973 - October 15, 1978
SOUTHMARK FINANCIAL SERVICES, INC.
December 7, 1970 - June 15, 1973
CAPITAL SECURITIES COMPANY
September 16, 1970 - May 5, 1971
MUTUAL FUND ADVISORS, 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: 7/31/1968
Registered Representative ExaminationF04
Date: 2/6/1978
Financial Principal ExaminationSeries 00
Date: 5/7/1973
General Securities Principal ExaminationCurrent firm
No current employment
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.
