Ryan D. 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.
Ryan Douglas Miller was a registered financial professional .
Ryan is a previously registered financial professional and started their career in finance in 2007. Ryan had worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 10, 2022 - December 14, 2022
HALO SECURITIES, LLC
June 6, 2022 - December 14, 2022
ROTHSCHILD WEALTH LLC
December 4, 2015 - August 3, 2020
STIFEL, NICOLAUS & COMPANY, INCORPORATED
December 4, 2015 - August 3, 2020
STIFEL, NICOLAUS & COMPANY, INCORPORATED
November 18, 2013 - December 4, 2015
BARCLAYS CAPITAL INC.
June 10, 2013 - December 4, 2015
BARCLAYS CAPITAL INC.
December 5, 2007 - January 30, 2013
CREDIT SUISSE SECURITIES (USA) LLC
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: 3/13/2022
General Securities Representative ExaminationCurrent Firm
HALO SECURITIES, LLC
CRD#: 279029 / SEC#: , 8-69655
Contact information
FINRA licenses (51 States and Territories)
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.
