Peter A. 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.
Peter Andrew Miller, who also goes by Peter A Miller, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 2004. Peter had worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 19, 2013 - December 31, 2024
FIRST ASSET FINANCIAL INC.
November 29, 2006 - December 31, 2012
MWA FINANCIAL SERVICES INC.
July 12, 2005 - November 30, 2006
AFS BROKERAGE, INC.
August 11, 2004 - June 30, 2005
GENEOS WEALTH MANAGEMENT, 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
FIRST ASSET FINANCIAL INC.
CRD#: 139107 / SEC#: , 8-67191
Contact information
FINRA licenses (20 States and Territories)
Disclosures
| Regulatory 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.
