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JM

Joseph J. Miller

Some features on this profile are disabled
CRD#: 4713304
JM

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 Jr Miller, who also goes by Joseph Thomas Miller, Joseph Miller Jr., Joseph Miller, Joseph Thomas Miller Jr, Joseph Miller Jr, Joseph Miller Jr., Joseph T Miller, was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 2004. Joseph had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Joseph Thomas Miller | Joseph Miller Jr. | Joseph Miller | Joseph Thomas Miller Jr | Joseph Miller Jr | Joseph Miller Jr. | Joseph T Miller

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.
I*1602267, Name of OBA: New Canaan Republican Town Committee Address: New Canaan Investment Related: No Position, Title, Association: Committee Employee Start Date: 01/01/2021 No Hours: 0 No Hours during trading: 0 Duties:

Blog Corner

CRS (Client Relationship Summary)

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

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

Past

November 4, 2024 - June 6, 2025

BALLAST ROCK CAPITAL LLC

BD
CRD#: 322170
CHARLESTON, SC
Past

January 30, 2023 - June 26, 2024

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
GREENWICH, CT
Past

January 30, 2023 - June 26, 2024

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
GREENWICH, CT
Past

January 12, 2021 - May 18, 2022

BTIG, LLC

BD
CRD#: 122225
New York, NY
Past

October 2, 2017 - January 4, 2021

COHEN & COMPANY SECURITIES, LLC

BD
CRD#: 149758
Cold Springs Harbor, NY
Past

June 28, 2013 - October 3, 2017

STIFEL, NICOLAUS & COMPANY, INCORPORATED

BD
CRD#: 793
NEW YORK, NY
Past

July 2, 2012 - June 28, 2013

VIRTU AMERICAS LLC

BD
CRD#: 149823
GREENWICH, CT
Past

January 3, 2011 - July 2, 2012

KNIGHT CAPITAL AMERICAS, L.P.

BD
CRD#: 38599
GREENWICH, CT
Past

November 12, 2009 - January 3, 2011

KNIGHT LIBERTAS LLC

BD
CRD#: 124790
GREENWICH, CT
Past

June 1, 2009 - December 8, 2009

MORGAN STANLEY

BD
CRD#: 149777
PURCHASE, NY
Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
PURCHASE, NY
Past

March 15, 2004 - April 2, 2007

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 8/10/2022
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/22/2004
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 7
Date: 3/12/2004
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/30/2018
General Securities Principal Examination

Current Firm

BR
BALLAST ROCK CAPITAL LLC
BALLAST ROCK CAPITAL LLC

CRD#: 322170 / SEC#: , 8-70943

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

Main Address
460 King Street Suite 200, Charleston, SC 29403
Mailing Address
460 King Street Suite 200, Charleston, SC 29403
Phone number
(516) 998-5322
Established
Delaware since 05/05/2022
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BALLAST ROCK HOLDINGS LLCDIRECT OWNER
CARROLL-CONNELL, THOMAS ELDREDGECCO/CEO4992661
ONESTO, RICHARD ERNESTFINOP2453096

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

BALLAST ROCK CAPITAL LLC

CRD#: 322170

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