JM
John S. Miles
ABG SUNDAL COLLIER
NEW YORK, NY 10120
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CRD#: 6384501
JM
Professional summary
John Stephen Miles is a registered financial professional currently at ABG SUNDAL COLLIER INC. located in New York, New York.
John is registered as a RR (Registered Representative) and started their career in finance in 2015. John has worked at 1 firm and has passed the Series 16 exam.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view John Stephen Miles'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
January 15, 2015 - Present
ABG SUNDAL COLLIER INC.
Office #1: 112 West 34th Street Suite 18027, New York, NY 10120BD
CRD#: 30605
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AS
ABG SUNDAL COLLIER INC.
ABG SECURITIES, INC. | FINANSHUSET (USA) SECURITIES, INC. | FIBA NORDIC SECURITIES, INC. | ABG SUNDAL COLLIER INC.
CRD#: 30605 / SEC#: , 8-44768
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
112 West 34th Street Suite 18027, New York, NY 10120
Mailing Address
112 West 34th Street Suite 18027, New York, NY 10120
Phone number
(212) 605-3800
Established
Delaware since 08/09/1991
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (6 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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