JM
Joseph J. Milici
LUMIERE FINANCIAL
Saint Petersburg, FL
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CRD#: 6089313
JM
Professional summary
Joseph J Milici, who also goes by Milici J Joseph, is a registered financial advisor currently at LUMIERE FINANCIAL located in Saint Petersburg, Florida and PURSHE KAPLAN STERLING INVESTMENTS located in New York, New York.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Joseph has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Milici J Joseph
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) 1. Lumiere Financial Group, LLC 2. Investment Related 3. Office of Employment Address 4. RIA & Insurance Firm 5. IAR 6. 07/2022 7. 160 hrs/mo 8. 160 hrs during trading 9. Provide Investment Advice 2) Independent Licensed Insurance Agent; Investment Related; Address: same as branch; 2/2011; Fixed Insurance 3) 1. Fitness Enthusiast & Motivator 2. Not Investment Related 3. Residential Address 4. Fitness 5. Consultant 6. 09/22/2022 7. 5 hrs/mo 8. 5 hrs during trading 9. Consult with clients on how to improve their lifestyle and gym routines. 4) 1. Social Media Marketing Consulting 2. Not Investment Related 3. Residential Address 4. Marketing 5. Consultant 6. 09/22/2022 7. 5hrs/mo 8. 5 hrs during trading 9. Consult with clients on how to improve their social media presence/social media marketing- not related to investments/investing. 5) Purshe Kaplan Sterling Investments, Investment Related - Yes, Address: See Registered Branch Location, Nature: Broker Dealer, Position: Registered Representative, Start: 08/2022, Number of Hours/Mo: 120, Number of Hrs during trading hours: 120, Duties: Mr. Milici is a registered representative of BD Purshe Kaplan Sterling Investments, member FINRA/SIPC. He may offer products and receive normal and customary commissions as a result of these transactions.
CRS (Client Relationship Summary) - RIA
Click below to view Joseph J Milici's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 22, 2022 - Present
LUMIERE FINANCIAL
RIA
CRD#: 319171
Saint Petersburg, FL
Current
August 1, 2022 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 675 Third Ave Suite 920, New York, NY 10017BD
CRD#: 35747
New York, NY
Past
August 21, 2014 - July 21, 2022
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
SHELTON, CT
Past
November 21, 2012 - July 21, 2022
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
SHELTON, CT
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
LF
LUMIERE FINANCIAL
LUMIERE FINANCIAL | LUMIERE FINANCIAL GROUP LLC | LUMIERE FINANCIAL GROUP
CRD#: 319171 / SEC#: 801-123638
RIA
Registered Investment Advisory firm - (4/6/2022 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
IAR
Connecticut(7/22/2022)
RR
Connecticut(8/1/2022)
RR
Florida(8/10/2022)
IAR
Florida(3/31/2023)
RR
Massachusetts(8/10/2022)
IAR
New York(7/22/2022)
RR
New York(8/1/2022)
RR
Rhode Island(8/10/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LF
LUMIERE FINANCIAL
LUMIERE FINANCIAL | LUMIERE FINANCIAL GROUP LLC | LUMIERE FINANCIAL GROUP
CRD#: 319171 / SEC#: 801-123638
RIA
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Contact information
Main Address
675 Third Avenue Suite 920, New York, NY 10017
Mailing Address
Phone number
(212) 516-5900
Established
Firm type
Fiscal year end
# of Employees
7
SEC notice filing (6 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 246 |
| AUM (Assets Under Management) | $ 59,927,014 |
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.
