Stuart D. 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.
Stuart Dunlap Miller was a registered financial professional .
Stuart is a previously registered financial professional and started their career in finance in 1993. Stuart had worked at 5 firms and has passed the Series 63, SIE, Series 79, 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
September 8, 2015 - October 30, 2017
RIVERSTONE CAPITAL SERVICES LLC
March 30, 2007 - November 6, 2008
UBS SECURITIES LLC
April 30, 2001 - July 6, 2006
ING FINANCIAL MARKETS LLC
January 1, 1999 - April 30, 2001
ABN AMRO SECURITIES LLC
September 21, 1993 - October 24, 1995
J.P. MORGAN SECURITIES INC.
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
RIVERSTONE CAPITAL SERVICES LLC
CRD#: 172056 / SEC#: , 8-69497
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RIVERSTONE EQUITY PARTNERS LP | PARENT | |
| ABBATE, CHRISTOPHER ANTHONY | CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER AND CHIEF OPERATING OFFICER | 2910866 |
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.
