Jeffrey D. Miller
Professional summary
Jeffrey David Miller was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Jeffrey is a previously registered financial professional and started their career in finance in 1981. Prior to being barred, Jeffrey had worked at 2 firms, which includes AMERICAN GENERAL SECURITIES INCORPORATED, TOWER SQUARE SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 30, 1996 - March 27, 1997
AMERICAN GENERAL SECURITIES INCORPORATED
November 21, 1994 - December 31, 1995
AMERICAN GENERAL SECURITIES INCORPORATED
May 3, 1983 - April 21, 1994
TOWER SQUARE SECURITIES, INC.
May 18, 1981 - April 21, 1994
TOWER SQUARE SECURITIES, 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
Current Firm
AMERICAN GENERAL SECURITIES INCORPORATED
CRD#: 13626 / SEC#: , 8-29542
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AIG ADVISOR GROUP, INC. | OWNER | |
| AULD, JEFFREY MICHAEL | PRESIDENT, CEO | 857528 |
| BROWN, JAMES BURKE | SENIOR VICE PRESIDENT | 1664825 |
| DENBY, SUSANNE MARIE | FIRST VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2617514 |
| HARRELL, JERI MICHELLE | ASSISTANT VICE PRESIDENT, PRODUCT SALES AND MARKETING | |
| HOLLAR, RICHARD ALLEN | DIRECTOR | 248628 |
| LONG, CRAIG MCCUTCHEON | ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 1406115 |
| NIXON, CHRISTINE | DIRECTOR | |
| PARKER, RALPH JOEL | ASSISTANT VICE PRESIDENT | 2587496 |
| ROTHSTEIN, STEVEN ELLIOT | CHIEF FINANCIAL OFFICER, DIRECTOR | 1292456 |
| SORKIN, NOAH DAVID | SENIOR VICE PRESIDENT, GENERAL COUNSEL | 1832767 |
| TUCK, ELIZABETH MARGARET | ASSISTANT SECRETARY | 4075693 |
| WILLIAMS, DANIEL ONIEL | VICE PRESIDENT, TREASURER | |
| WINTER, MATTHEW EVAN | DIRECTOR | 2598136 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 5 |
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.
