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Eugene Thomas Miller

CRD# 4363093·Registered 2001 - 2017
Previously Registered: Being a previously registered professional could mean that Eugene 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.

Professional Summary

Eugene Thomas Miller, who also goes by Gene Miller, was a registered financial advisor. Eugene was a previously registered financial professional and started their career in finance 2001 - 2017. Eugene had worked at 7 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Gene Miller

Blog Corner

More Resources

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

25 years in the financial services industry

Current & Past Employments

Past

GARY GOLDBERG PLANNING SERVICESPast·CRD# 173565
RIA
Suffern, NY
May 26, 2016 - April 19, 2017
GARY GOLDBERG & CO., LLCPast·CRD# 47957
BD
Suffern, NY
May 26, 2016 - April 19, 2017
WESTPORT RESOURCES MANAGEMENT INCPast·CRD# 105306
RIA
Westport, CT
August 7, 2013 - May 26, 2016
SMH CAPITAL INVESTMENTS LLCPast·CRD# 24535
BD
Ft. Worth, TX
August 7, 2013 - May 26, 2016
CITIGROUP GLOBAL MARKETS INC.Past·CRD# 7059
RIA
Westport, CT
April 13, 2012 - August 5, 2013
CITIGROUP GLOBAL MARKETS INC.Past·CRD# 7059
BD
Westport, CT
March 9, 2012 - August 5, 2013
GFO ADVISORY SERVICES, LLCPast·CRD# 109278
RIA
Greenwich, CT
March 21, 2007 - October 15, 2008
BNY INVESTMENT CENTER INC.Past·CRD# 47683
BD
New York, NY
April 25, 2001 - October 5, 2006

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Current Firm

GG
GARY GOLDBERG PLANNING SERVICES

1879 ADVISORS | GARY GOLDBERG PLANNING SERVICES, LLC | GARY GOLDBERG PLANNING SERVICES | GARY GOLDBERG FINANCIAL SERVICES | BRUDERMAN PRIVATE WEALTH SERVICES | BRUDERMAN ASSET MANAGEMENT, LLC

CRD#: 173565 / SEC#: 801-81097

Contact Information

Main Address

119 Birch Hill Rd, Locust Valley, NY 11560

Phone Number

(516) 609-0291

# of Employees

26

Documents

Latest Form ADV

Regulatory Assets Under Management

Total Number of Accounts

488

AUM (Assets Under Management)

$485,557,733

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Apr 2012About the Series 66 exam

Series 65 — Uniform Investment Adviser Law Examination

Passed Mar 2007About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed May 2001About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Apr 2017About the SIE exam

Series 7 — General Securities Representative Examination

Passed Mar 2012About the Series 7 exam

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CRS (Client Relationship Summary)

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

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