Gene S. 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.
Gene Spencer Miller, who also goes by Eugene Spencer Miller, Gene Miller, was a registered financial professional .
Gene is a previously registered financial professional and started their career in finance in 1981. Gene had worked at 10 firms and has passed the Series 63, Series 55, Series 5, Series 7, Series 6, Series 24, Series 53 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 2, 2007 - August 4, 2010
SCARSDALE EQUITIES LLC
March 30, 2001 - May 18, 2007
LEEB BROKERAGE SERVICES, INC.
July 17, 1997 - April 6, 2001
JESUP & LAMONT SECURITIES CORP
January 24, 1996 - July 15, 1997
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
April 15, 1986 - July 30, 1987
CITICORP SECURITIES SERVICES, INC.
September 1, 1983 - January 11, 1996
LABRANCHE FINANCIAL SERVICES, LLC
April 13, 1982 - April 29, 1982
CHARLES SCHWAB & CO., INC.
September 18, 1981 - January 21, 1985
FLEET BROKERAGE SECURITIES, INC.
June 23, 1981 - December 27, 1983
WOODBURY FINANCIAL SERVICES, INC.
June 23, 1981 - March 2, 1990
INDIVIDUAL'S SECURITIES LTD.
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 55
Date: 3/18/2000
Limited Representative-Equity Trader ExamSeries 5
Date: 11/20/1989
Interest Rate Options ExaminationCurrent Firm
SCARSDALE EQUITIES LLC
CRD#: 134602 / SEC#: , 8-66845
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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