Steven T. 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 Tetsuo Miller was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1983. Steven had worked at 4 firms and has passed the Series 63, Series 7, Series 22, Series 6 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
October 28, 2009 - February 18, 2011
GBS FINANCIAL CORP.
September 13, 1995 - November 10, 2009
NEWPORT COAST SECURITIES, INC.
April 9, 1987 - September 25, 1995
GBS FINANCIAL CORP.
March 2, 1984 - April 15, 1987
LPL FINANCIAL LLC
February 3, 1983 - March 19, 1984
AMERIPRISE FINANCIAL SERVICES, LLC
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
GBS FINANCIAL CORP.
CRD#: 16906 / SEC#: 801-60744, 8-34631
Contact information
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
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