Steven A. 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 Allen Miller, who also goes by Steven A Miller, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1984. Steven had worked at 8 firms and has passed the Series 63, SIE, Series 3, Series 7 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 22, 2015 - June 27, 2017
ALPS DISTRIBUTORS, INC.
February 7, 2012 - November 4, 2013
TP ICAP GLOBAL MARKETS AMERICAS LLC
December 9, 2010 - February 8, 2011
GRAND DISTRIBUTION SERVICES, LLC
April 28, 2003 - December 22, 2008
PALI CAPITAL, INC.
December 21, 1994 - March 31, 2003
GEMINI FINANCIAL CORPORATION
March 26, 1990 - January 14, 1995
UBS FINANCIAL SERVICES INC.
November 4, 1985 - April 2, 1990
CITIGROUP GLOBAL MARKETS INC.
October 26, 1984 - November 15, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
ALPS DISTRIBUTORS, INC.
CRD#: 16853 / SEC#: , 8-34626
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
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.
