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SM

Stephen R. Miller

CENTERVIEW PARTNERS LLC
Menlo Park, CA 94025
Some features on this profile are disabled
CRD#: 1913358
SM

Professional summary

Stephen Roy Miller JR, who also goes by Stephen Roy Miller, Stephen Miller, Steve Miller, is a registered financial professional currently at CENTERVIEW PARTNERS LLC located in Menlo Park, California.

Stephen is registered as a RR (Registered Representative) and started their career in finance in 1995. Stephen has worked at 6 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Stephen Roy Miller | Stephen Miller | Steve Miller

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Stephen Roy Miller JR's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

September 9, 2021 - Present

CENTERVIEW PARTNERS LLC

Office #1: 1302 El Camino Real Suite 350, Menlo Park, CA 94025
BD
CRD#: 133796
Menlo Park, CA
Past

May 10, 2019 - August 10, 2021

BOFA SECURITIES, INC.

BD
CRD#: 283942
PALO ALTO, CA
Past

May 10, 2001 - May 10, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
PALO ALTO, CA
Past

May 16, 2000 - March 6, 2001

EPOCH SECURITIES, INC.

BD
CRD#: 103899
SOUTHBOROUGH, MA
Past

February 22, 2000 - June 5, 2000

J.P. SECURITIES, INC.

BD
CRD#: 36559
BELLEVUE, NE
Past

February 8, 2000 - May 24, 2000

TD AMERITRADE CLEARING, INC.

BD
CRD#: 5633
OMAHA, NE
Past

October 3, 1995 - February 10, 2000

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(9/9/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 9/14/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/8/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/11/2000
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CP
CENTERVIEW PARTNERS LLC
CENTERVIEW PARTNERS LLC | PRUZAN & CO., LLC

CRD#: 133796 / SEC#: , 8-66774

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
31 West 52nd Street 22nd Floor, New York, NY 10019
Mailing Address
31 West 52nd Street 22nd Floor, New York, NY 10019
Phone number
(212) 380-2650
Established
Delaware since 02/25/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CENTERVIEW PARTNERS ADVISORY HOLDINGS LLCMANAGING MEMBER
EFFRON, BLAIR WAYNEPARTNER1532642
HARTMAN, ALAN PHILIPPARTNER2595280
KOSOWSKY, AMANDA LENORECHIEF COMPLIANCE OFFICER6639399
PRUZAN, ROBERT ALANPARTNER2018542
ROBINSON, MARK JASONPARTNER2394581
VICARI, JEANNEFINOP & CHIEF FINANCIAL OFFICER1975263

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.

Company Information

CENTERVIEW PARTNERS LLC

CRD#: 133796Menlo Park, CA 94025

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