Milton W. Minces
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.
Milton Woodrow Minces JR, who also goes by Mike Minces, was a registered financial professional .
Milton is a previously registered financial professional and started their career in finance in 1977. Milton had worked at 7 firms and has passed the Series 65, Series 63, Series 5, PC, Series 7, Series 53, Series 24, Series 4 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
May 2, 2011 - September 13, 2013
IMS SECURITIES, INC.
October 9, 2000 - May 5, 2011
WFG INVESTMENTS, INC.
December 4, 1991 - October 26, 2000
D.E. FREY & COMPANY, INC.
February 15, 1988 - November 27, 1991
LEHMAN BROTHERS INC.
June 17, 1981 - February 15, 1988
E. F. HUTTON & COMPANY INC
September 26, 1978 - August 3, 1981
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 21, 1977 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 5
Date: 10/5/1981
Interest Rate Options ExaminationPC
Date: 9/8/1977
AMEX Put and Call ExamSeries 12
Date: 12/23/1982
NYSE Branch Manager ExaminationCurrent Firm
IMS SECURITIES, INC.
CRD#: 35567 / SEC#: , 8-46722
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 6 |
Red Flags
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