Alton L. Miles
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.
Alton Leroy Miles III, who also goes by Alton Leroy Miles, Lee Miles, was a registered financial professional .
Alton is a previously registered financial professional and started their career in finance in 2011. Alton had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 87, Series 86 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
December 1, 2021 - April 26, 2022
HESTIA CAPITAL MANAGEMENT, LLC
May 8, 2015 - July 8, 2016
ROBERT W. BAIRD & CO. INCORPORATED
July 2, 2012 - June 14, 2013
VIRTU AMERICAS LLC
January 26, 2011 - July 2, 2012
KNIGHT CAPITAL AMERICAS, L.P.
Primary Firm SEC Registration
HESTIA CAPITAL MANAGEMENT, LLC
CRD#: 314650 / SEC#: 801-127997
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
HESTIA CAPITAL MANAGEMENT, LLC
CRD#: 314650 / SEC#: 801-127997
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 3 |
| AUM (Assets Under Management) | $ 131,913,354 |
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.
