Wayne I. Miiller
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.
Wayne Ivan Miiller, who also goes by Wayne I Miiller, was a registered financial professional .
Wayne is a previously registered financial professional and started their career in finance in 2004. Wayne had worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 13, 2018 - March 19, 2021
AEON CAPITAL INC
October 9, 2013 - September 15, 2017
AMERICAN ASSET ADVISORY, LLC
April 13, 2010 - February 2, 2018
ACCELERATED CAPITAL GROUP
January 7, 2009 - April 21, 2010
LONGVIEW FINANCIAL GROUP, INC
December 3, 2004 - January 31, 2005
USAA INVESTMENT SERVICES COMPANY
June 22, 2004 - September 23, 2004
WOODBURY FINANCIAL SERVICES, 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
Series 7TO
Date: 1/3/2024
General Securities Representative ExaminationSeries 6TO
Date: 1/3/2024
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
AEON CAPITAL INC
CRD#: 164004 / SEC#: , 8-69080
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AEON CAPITAL MARKETS, LLC | OWNER | |
| MALLIOS, DEMETRIOS | OWNER - CCO | 3169758 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
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.
