John W. 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.
John William Miller III was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2006. John had worked at 4 firms and has passed the Series 63 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
July 5, 2012 - May 15, 2014
HALES SECURITIES, LLC
December 1, 2009 - June 7, 2012
MACQUARIE CAPITAL (USA) INC.
September 4, 2007 - December 1, 2009
FOX-PITT KELTON COCHRAN CARONIA WALLER (USA) LLC
December 12, 2006 - August 31, 2007
COCHRAN CARONIA WALLER SECURITIES LLC
State Registrations and Notice Filings
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Exams
Current Firm
HALES SECURITIES, LLC
CRD#: 104415 / SEC#: , 8-52876
Contact information
Documents
Red Flags
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