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Miles Anthony is a financial advisor professional located in Middletown, NY. They specialize in financial advisory. With over 18 years of experience, they bring deep expertise to every client.
Miles Anthony - Principal Securities, Inc. holds an active professional license (FINRA CRD) for your protection.
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Miles Anthony operates Principal Securities, Inc. in Middletown, NY, bringing 18 years of experience in financial advisory services. The firm holds a FINRA CRD license (Number 5387438), which regulates securities professionals and investment advisors at the federal level. This licensing framework ensures compliance with SEC and FINRA regulations governing the sale and management of securities and investment products. Miles Anthony's tenure in the industry reflects established market knowledge and client service experience in financial planning and advisory work.
A FINRA CRD (Central Registration Depository) license indicates that Miles Anthony is registered with the Financial Industry Regulatory Authority, the primary self-regulatory organization for securities brokers and dealers. This registration means the advisor operates under strict federal oversight and must comply with FINRA's conduct rules, continuing education requirements, and client protection standards. FINRA registration is required to buy, sell, or advise on securities and investment products. The CRD number (5387438) is the official identifier used by regulators and clients to verify licensing status and any disciplinary history.