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Michael J. Miller

FIDUS SECURITIES
New York, NY 10036
Some features on this profile are disabled
CRD#: 4536105
MM

Professional summary

Michael James Miller is a registered financial professional currently at FIDUS SECURITIES, LLC located in New York, New York.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2002. Michael has worked at 3 firms and has passed the Series 63, SIE, Series 62 and Series 7 exams.

top-8-questions

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) - BD

Click below to view Michael James Miller's CRS (Customer Relationship Summary).

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

Current

June 19, 2018 - Present

FIDUS SECURITIES, LLC

Office #1: 1140 Avenue Of The Americas 21st Floor, New York, NY 10036
BD
CRD#: 132882
New York, NY
Past

September 10, 2004 - February 23, 2005

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY
Past

July 3, 2002 - August 4, 2003

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

BD
CRD#: 102920
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(6/21/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 6/21/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 62
Date: 6/19/2018
Corporate Securities Limited Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 7/2/2002
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FS
FIDUS SECURITIES, LLC
FIDUS PARTNERS, LLC | FIDUS SECURITIES, LLC

CRD#: 132882 / SEC#: , 8-66656

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
4201 Congress Street Suite 250, Charlotte, NC 28209
Mailing Address
4201 Congress Street Suite 250, Charlotte, NC 28209
Phone number
(704) 334-2222
Established
Delaware since 08/05/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (24 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
FIDUS PARTNERS, LLCMEMBER
CLARK, PATRICK CANNONCHIEF COMPLIANCE OFFICER/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATIONS OFFICER5935896
GRIGG, JOHN HUMPHREYREGISTERED PRINCIPAL1740900
ROSS, JOHN JOSEPH IIREGISTERED PRINCIPAL2419176

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

FIDUS SECURITIES, LLC

CRD#: 132882New York, NY 10036

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