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SM

Samuel T. Milliken

Some features on this profile are disabled
CRD#: 335887
SM

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.

Samuel Toy Milliken JR was a registered financial professional .

Samuel is a previously registered financial professional and started their career in finance in 1970. Samuel had worked at 8 firms and has passed the Series 1, Series 27 and Series 40 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

December 7, 1987 - December 6, 1989

GENESEE INVESTMENT CORPORATION

BD
CRD#: 10505
Past

July 3, 1986 - December 1, 1987

R.T. CALDWELL & CO., INCORPORATED

BD
CRD#: 14080
Past

January 23, 1986 - August 25, 1986

GENESEE INVESTMENT CORPORATION

BD
CRD#: 10505
Past

July 18, 1984 - January 24, 1986

R.T. CALDWELL & CO., INCORPORATED

BD
CRD#: 14080
Past

February 21, 1982 - June 25, 1982

COUGHLIN & COMPANY, INC.

BD
CRD#: 185
Past

November 19, 1981 - February 25, 1982

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
Past

April 13, 1981 - September 21, 1981

WALFORD, DEMARET & CO., INC.

BD
CRD#: 7985
Past

November 13, 1978 - August 11, 1979

DAIN RAUSCHER INCORPORATED

BD
CRD#: 7600
Past

February 24, 1978 - January 5, 1979

MORGAN STANLEY DW INC.

BD
CRD#: 7556
Past

March 9, 1970 - February 24, 1978

DEAN WITTER & CO. INCORPORATED

BD
CRD#: 6466

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 1
Date: 7/16/1956
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 2/15/1986
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 40
Date: 2/24/1970
Registered Principal Examination

Current Firm

GI
GENESEE INVESTMENT CORPORATION
ENVEST, INC. | J.F. HOFFMAN SECURITIES, INC. | HOFFMAN (J.P.) SECURITIES, INC. | GENESEE INVESTMENT CORPORATION

CRD#: 10505 / SEC#: , 8-27269

BD
Cancelled by FINRA on 03/23/1990
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Contact information

Main Address
Mailing Address
Phone number
Established
Colorado since 01/15/1982
Firm type
Corporation
Fiscal year end
March
# of Employees

Documents

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.

Company Information

GENESEE INVESTMENT CORPORATION

CRD#: 10505

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