Stephen C. Miles

SUTRO ADVISORS

San Francisco, CA

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CRD#: 3254941

Professional summary

Stephen Christian Miles is a registered financial advisor currently at SUTRO ADVISORS located in San Francisco, California.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Stephen has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view Stephen Christian Miles'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

August 6, 2018 - Present

SUTRO ADVISORS

RIA

CRD#: 297856

San Francisco, CA

Past

October 14, 2005 - April 16, 2018

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

San Francisco, CA

Past

October 14, 2005 - April 16, 2018

CHARLES SCHWAB & CO., INC.

CRD#: 5393

San Francisco, CA

Past

August 22, 2005 - September 27, 2005

TD AMERITRADE, INC.

RIA

CRD#: 7870

SAN FRANCISCO, CA

Past

August 22, 2005 - September 27, 2005

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

Past

April 21, 2004 - September 15, 2005

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

SAN FRANCISCO, CA

Past

April 21, 2004 - September 15, 2005

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

Past

November 30, 1999 - June 4, 2002

E*TRADE SECURITIES LLC

CRD#: 29106

JERSEY CITY, NJ

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(8/6/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/6/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/7/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 4/16/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/28/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 11/15/2000

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 8/16/2000

General Securities Principal Examination

Current Firm

SUTRO ADVISORS

SUTRO ADVISORS | SUTRO ADVISORS LLC

CRD#: 297856 / SEC#:

California

Registered Investment Advisory firm - (8/6/2018 Approved)

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Contact information

Main Address

San Francisco, CA

Mailing Address

Phone number

(415) 610-4156

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	107
AUM (Assets Under Management)	$ 43,404,718

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.

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Firm Stability Insights

Stephen C. Miles

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Christian Miles's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

TD AMERITRADE, INC.

TD AMERITRADE, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

E*TRADE SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/6/2002

Series 63

Date: 12/7/1999

SIE

Date: 4/16/2018

Series 7

Date: 11/28/1999

Series 4

Date: 11/15/2000

Series 24

Date: 8/16/2000

Current Firm

SUTRO ADVISORS

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SUTRO ADVISORS

TRUST BUT VERIFY

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