Randell 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.
Randell Lynn Miles, who also goes by Randy Miles, was a registered financial professional .
Randell is a previously registered financial professional and started their career in finance in 1980. Randell had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 23, Series 8 and Series 12 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 - December 31, 2017
COLORADO FINANCIAL SERVICE CORPORATION
May 21, 2012 - June 20, 2012
BROOKSTONE SECURITIES, INC.
December 15, 2010 - May 18, 2012
BROKERSXPRESS LLC
September 23, 2005 - December 15, 2010
JHS CAPITAL ADVISORS, LLC
September 18, 2003 - September 23, 2005
STERLING FINANCIAL INVESTMENT GROUP, INC.
April 30, 1998 - October 14, 2003
STANFORD GROUP COMPANY
April 29, 1998 - October 14, 2003
STANFORD GROUP COMPANY
March 22, 1990 - April 21, 1998
ADVEST, INC.
November 4, 1987 - March 19, 1990
PRESCOTT, BALL & TURBEN, INC.
May 24, 1980 - February 11, 1988
E. F. HUTTON & COMPANY INC
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 8
Date: 6/21/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Series 12
Date: 8/21/1980
NYSE Branch Manager ExaminationCurrent Firm
COLORADO FINANCIAL SERVICE CORPORATION
CRD#: 104343 / SEC#: 801-76716, 8-52817
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COLORADO NATIONAL CORPORATION | OWNER | |
| FELDMAN, KEITH MITCHELL | MUNICIPAL SECURITIES PRINCIPAL | 1308772 |
| FELDMAN, KEITH MITCHELL | OPTIONS PRINCIPAL | 1308772 |
| FELDMAN, KEITH MITCHELL | GENERAL SECURITIES PRINCIPAL, HEAD OF OPERATIONS | 1308772 |
| HEBERT, CHESTER JOSEPH | FINOP | 1678446 |
| HEBERT, CHESTER JOSEPH | CHIEF COMPLIANCE OFFICER | 1678446 |
| HEBERT, CHESTER JOSEPH | CHAIRMAN, CHIEF EXECUTIVE OFFICER, PRESIDENT | 1678446 |
| THON, JAMESON OBRIEN | GENERAL SECURITIES PRINCIPAL, PRESIDENT | 7015002 |
| WOODWORTH, ADAM JAMES | COMPLIANCE OFFICER | 6952982 |
Regulatory assets under management
| Total Number of Accounts | 209 |
| AUM (Assets Under Management) | $ 68,471,136 |
Disclosures
| Regulatory Event | 3 |
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.
