Steven F. 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.
Steven Frank Miller JR was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1982. Steven had worked at 4 firms and has passed the Series 63, Series 7, Series 27, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 30, 1989 - December 31, 2008
THE INVESTMENT CENTER, INC.
May 4, 1988 - May 26, 1989
BAIRD, PATRICK & CO., INC.
December 11, 1986 - May 10, 1988
AMERICAN CAPITAL EQUITIES, INC.
January 19, 1982 - January 1, 1987
INDIVIDUAL'S SECURITIES LTD.
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
Current Firm
THE INVESTMENT CENTER, INC.
CRD#: 17839 / SEC#: , 8-35826
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 8 |
| Arbitration | 5 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
