Eric Miller has been Chief Compliance Officer of Axiom Investment Management since January 2011, is a control person of the firm and directly owns under 5% of it.
Axiom Investment Management LLC is a New York, NY firm with $237M under management, 214 clients and 4 advisers in one office, as of its April 2026 filing.
No adviser firm registrations are on Eric Miller’s record.
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 52TO | Municipal Securities Representative Examination | 25 September 2025 |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 2 January 2023 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 2 January 2023 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| Series 79TO | Investment Banking Registered Representative Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 3 | National Commodity Futures Examination | 21 May 2007 |
| Series 14 | Compliance Officer Examination | 1 October 2002 |
| Series 53 | Municipal Securities Principal Examination | 7 November 1994 |
| Series 63 | Uniform Securities Agent State Law Examination | 1 August 1994 |
| Series 8 | General Securities Sales Supervisor Examination (Options Module & General Module) | 20 June 1994 |
| Series 4 | Registered Options Principal Examination | 2 May 1994 |
| Series 24 | General Securities Principal Examination | 14 March 1994 |
| Series 7 | General Securities Representative Examination | 10 February 1994 |
- Name
- Municipal Securities Representative Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- Operations Professional Examination
- Name
- Investment Banking Registered Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- National Commodity Futures Examination
- Name
- Compliance Officer Examination
- Name
- Municipal Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Sales Supervisor Examination (Options Module & General Module)
- Name
- Registered Options Principal Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Full name
- Eric Lee Miller
- CRD
- 2200698
- Firm
- Axiom Investment Management · CRD 141516
- Role
- Chief Compliance Officer
- Registration
- Broker registration; no current adviser registration
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Eric Miller work?
Eric Miller has been Chief Compliance Officer of Axiom Investment Management LLC since January 2011, and is a control person of the firm.
Does Eric Miller have a current investment-adviser registration?
Eric Miller has a current broker registration and no current investment-adviser registration.
What exams has Eric Miller passed?
Eric Miller has passed 13 licensing exams: the Series 7, Series 24, Series 4, Series 8, Series 63, Series 53, Series 14, Series 3, Series 10, Series 9, Series 99TO, Series 79TO and Series 52TO. The earliest, the Series 7, was passed in February 1994. FINRA credited Eric Miller with the SIE, which began in October 2018.
Is Eric Miller registered with FINRA?
Yes. Eric Miller has a current broker registration, under CRD 2200698.
Source: FINRA BrokerCheck
How can I verify Eric Miller’s record?
Search CRD 2200698 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Eric Miller’s full registration record.