Timothy C. 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.
Timothy Calvin Miller was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 2001. Timothy had worked at 8 firms and has passed the Series 63, SIE, Series 86, Series 87, Series 7 and Series 55 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 25, 2016 - September 26, 2018
OSCAR GRUSS & SON INCORPORATED
April 2, 2014 - September 22, 2014
LIQUIDNET, INC.
May 2, 2012 - September 11, 2012
MLV & CO. LLC
May 4, 2011 - March 1, 2012
UNX LLC
June 23, 2005 - August 16, 2006
UNX LLC
September 16, 2004 - June 23, 2005
PULSE TRADING, INC.
May 28, 2003 - September 21, 2004
BURLINGTON CAPITAL MARKETS INC.
October 31, 2002 - December 11, 2002
LEEB BROKERAGE SERVICES, INC.
February 27, 2001 - January 7, 2002
JEFFERIES LLC
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 55
Date: 7/10/2003
Limited Representative-Equity Trader ExamCurrent Firm
OSCAR GRUSS & SON INCORPORATED
CRD#: 2091 / SEC#: , 8-22371
Contact information
FINRA licenses (52 States and Territories)
Documents
Disclosures
| Regulatory Event | 26 |
| Arbitration | 5 |
| Judgment/Lien | 13 |
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.
