Curtis P. 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.
Curtis Paul Miller was a registered financial professional .
Curtis is a previously registered financial professional and started their career in finance in 1977. Curtis had worked at 11 firms and has passed the Series 63, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 17, 2010 - May 15, 2012
GBS FINANCIAL CORP.
September 15, 2008 - April 9, 2010
LPL FINANCIAL LLC
April 23, 2008 - June 11, 2008
CUSO FINANCIAL SERVICES, L.P.
January 27, 2005 - May 20, 2008
GBS FINANCIAL CORP.
March 19, 2002 - January 31, 2005
SECU BROKERAGE SERVICES
November 18, 1994 - April 2, 2002
CETERA WEALTH SERVICES, LLC
July 13, 1994 - November 15, 1994
LONDON PACIFIC SECURITIES, INC.
February 20, 1990 - June 30, 1994
CUNA BROKERAGE SERVICES, INC.
March 14, 1989 - February 14, 1990
CENTURY INVESTORS OF AMERICA, INC.
July 30, 1985 - March 11, 1989
FIRST AFFILIATED SECURITIES, INC.
September 26, 1978 - August 19, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 1, 1977 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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: 10/31/1985
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
GBS FINANCIAL CORP.
CRD#: 16906 / SEC#: 801-60744, 8-34631
Contact information
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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