Joseph 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 Miller was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 2000. Joseph had worked at 2 firms and has passed the Series 25 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 23, 2001 - February 25, 2003
GALWAY SECURITIES CORPORATION
October 1, 2000 - October 12, 2001
LEE SECURITIES CORP
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 25
Date: 6/20/2000
NYSE Trading Assistant ExaminationCurrent Firm
GALWAY SECURITIES CORPORATION
CRD#: 33211 / SEC#: , 8-46331
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
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.
