Eric Miller

Chief Compliance Officer

Axiom Capital Management, Inc.

Eric L. Miller is the Chief Compliance Officer for both Axiom Capital Management Inc., a full service broker dealer, and its affiliated SEC Registered Investment Adviser, Axiom Investment Management, LLC in New York. During the past 16 years, he has guided Axiom through the ever-changing regulatory environment since he joined in 2003 as a consultant and then taking the CCO position in May 2010. Mr. Miller holds Series 3, 4, 7, 8 (k/n/a 9 & 10), 14, 24, 53, 63, 73 and 99 licenses and is a member of the FINRA Board of Arbitrators. He has almost 30 years of compliance experience having held positions including Chief Compliance Officer of Ladenburg Capital Management Inc., pursuant to which he assisted the company in its expansion from approximately 45 Registered Representatives in 1995 to over 450 in 2001. Prior to joining Ladenberg in 1995, Mr. Miller was a Senior Compliance Analyst at Oppenheimer & Co., Inc., and prior to joining OPCO in 1991, was a compliance analyst at the American Stock Exchange. He is a member of NSCP.

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