Eugene T. 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.
Eugene Thomas Miller, who also goes by Gene Miller, was a registered financial professional .
Eugene is a previously registered financial professional and started their career in finance in 2001. Eugene had worked at 7 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 26, 2016 - April 19, 2017
GARY GOLDBERG PLANNING SERVICES
May 26, 2016 - April 19, 2017
GARY GOLDBERG & CO., LLC
August 7, 2013 - May 26, 2016
WESTPORT RESOURCES MANAGEMENT INC
August 7, 2013 - May 26, 2016
SMH CAPITAL INVESTMENTS LLC
April 13, 2012 - August 5, 2013
CITIGROUP GLOBAL MARKETS INC.
March 9, 2012 - August 5, 2013
CITIGROUP GLOBAL MARKETS INC.
March 21, 2007 - October 15, 2008
GFO ADVISORY SERVICES, LLC
April 25, 2001 - October 5, 2006
BNY INVESTMENT CENTER 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
Current Firm
GARY GOLDBERG PLANNING SERVICES
CRD#: 173565 / SEC#: 801-81097
Contact information
Regulatory assets under management
| Total Number of Accounts | 488 |
| AUM (Assets Under Management) | $ 485,557,733 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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