Individual Firm
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JEANNE MARIE MILLER
JEANNE MARIE STEC
CRD#: 4273064
IA
B
SECURITY CAPITAL MANAGEMENTCRD#: 396 48-50 W CHESTNUT ST
STE 300
LANCASTER, PA 17603-1267
STE 300
LANCASTER, PA 17603-1267
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1/31/2014
Employment Separation After Allegations
State Registrations
B
Arizona 1/31/2014
B
New Hampshire 11/20/2024
B
Connecticut 4/4/2014
B
New Jersey 1/3/2022
B
Delaware 9/27/2023
IA
New Jersey 1/6/2022
B
District of Columbia 11/9/2023
B
North Carolina 9/7/2023
B
Florida 1/31/2014
IA
North Carolina 9/8/2023
IA
Florida 1/30/2020
B
Pennsylvania 1/31/2014
B
Georgia 1/31/2014
IA
Pennsylvania 1/31/2014
IA
Georgia 4/12/2021
B
Texas 10/5/2017
B
Louisiana 2/17/2020
IA
Texas 4/1/2020
B
Maine 3/19/2014
B
Virginia 4/24/2019
B
Massachusetts 3/2/2023
IA
Virginia 3/30/2020
B
Montana 8/1/2016
B
Washington 10/27/2023
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 1/31/2014
B
Registered with this firm since 1/31/2014
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/01/2004 - 02/24/2014 | CAMP HILL, PA | |
B | 01/01/2004 - 02/24/2014 | CAMP HILL, PA | |
IA | 06/11/2003 - 01/01/2004 | CAMP HILL, PA | |
B | 10/10/2000 - 01/01/2004 | LOUISVILLE, KY |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.