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LM

Leonard I. Miller

Some features on this profile are disabled
CRD#: 829181
LM

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.

Leonard I Miller was a registered financial professional .

Leonard is a previously registered financial professional and started their career in finance in 1976. Leonard had worked at 11 firms and has passed the Series 63, SIE and Series 7 exams.

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 23, 1996 - August 15, 2019

GREAT PACIFIC SECURITIES

BD
CRD#: 29251
COSTA MESA, CA
Past

June 7, 1995 - June 24, 1996

GUGGENHEIM INVESTOR SERVICES, LLC

BD
CRD#: 30096
NEW YORK, NY
Past

May 7, 1990 - May 15, 1995

LIBERTY CAPITAL MARKETS, INC.

BD
CRD#: 16534
Past

September 1, 1989 - May 18, 1990

PRINTON, KANE GROUP, INC.

BD
CRD#: 23667
Past

September 2, 1988 - September 1, 1989

PRINTON KANE & CO., L.P.

BD
CRD#: 6358
Past

October 6, 1986 - September 1, 1989

PRINTON, KANE GOVERNMENT SECURITIES, INC.

BD
CRD#: 17733
Past

June 6, 1984 - March 26, 1986

ROONEY, PACE INC.

BD
CRD#: 6218
Past

March 18, 1981 - August 11, 1982

CRALIN & CO., INC.

BD
CRD#: 7605
Past

January 18, 1978 - June 13, 1984

LOEB PARTNERS

BD
CRD#: 7534
Past

January 4, 1977 - January 18, 1978

LOEB RHOADES & CO. INC.

BD
CRD#: 7502
Past

October 21, 1976 - January 4, 1977

LOEB, RHOADES & CO. INC.

BD
CRD#: 525

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

State Security Law Exam
RR
Series 63
Date: 7/16/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/16/1976
General Securities Representative Examination

Current Firm

GP
GREAT PACIFIC SECURITIES
GREAT PACIFIC FIXED INCOME SECURITIES, INC. | GREAT PACIFIC SECURITIES

CRD#: 29251 / SEC#: , 8-44398

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
151 Kalmus Drive, Building H8, Costa Mesa, CA 92626
Mailing Address
151 Kalmus Drive, Building H8, Costa Mesa, CA 92626
Phone number
(714) 619-3000
Established
California since 09/01/1991
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (28 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
VINCK, CHRISTOPHER VINCENTPRINCIPAL OPERATING OFFICER2447335
VINCK, CHRISTOPHER VINCENTTRADING2447335
VINCK, CHRISTOPHER VINCENTCEO2447335
VINCK, CHRISTOPHER VINCENTCCO2447335
ONESTO, RICHARD ERNESTPRINCIPAL FINANCIAL OFFICER, FINOP, AND CFO2453096

Disclosures

Regulatory Event2

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.

Company Information

GREAT PACIFIC SECURITIES

CRD#: 29251

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