Stephen P. Milner

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CRD#: 3266515

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.

Stephen Paul Milner was a registered financial professional .

Stephen is a previously registered financial professional and started their career in finance in 1999. Stephen had worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

1. CPA, NO, 4100 NEWPORT PLACEE#300 NEWPORT BEACH CA 92660, 95% OF TIME IS SPENT ON, CONSULTANT/TAX PREP - "BAKER TILLY US, LLP" 2. BAKER TILLY CAPITAL,LLC ("BTC") AND BAKER TILLY WEALTH MANAGEMENT, LLC ("BTWM") ARE WHOLLY OWNED SUBSIDIARIES OF BAKER TILLY US, LLP ("BTUS"). SALARY AND VARIABLE COMPENSATION (IF APPLICABLE) IS PAID BY BTUS. 5% OF TIME IS SPENT ON ADVISORY SERVICES. THERE IS AN EXPENSE-SHARING AGREEMENT IN PLACE BETWEEN BTC AND BTUS, AS WELL AS, BTWM AND BTUS, WHICH GOVERNS SHARING OF PERSONNEL AND RESOURCES.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 10, 2020 - June 3, 2024

BAKER TILLY CAPITAL, LLC

CRD#: 115333

Irvine, CA

Past

November 13, 2020 - June 3, 2024

BAKER TILLY WEALTH MANAGEMENT, LLC

RIA

CRD#: 167811

Irvine, CA

Past

July 27, 2017 - March 28, 2019

ALLEGIS INVESTMENT SERVICES, LLC

CRD#: 168557

Irvine, CA

Past

October 31, 2005 - July 5, 2017

OSAIC SERVICES, INC.

CRD#: 133763

NEWPORT BEACH, CA

Past

March 17, 2005 - October 31, 2005

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

June 22, 2001 - January 31, 2003

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717

SAN DIEGO, CA

Past

January 2, 2001 - April 30, 2001

THE SEIDLER COMPANIES INCORPORATED

CRD#: 3911

LOS ANGELES, CA

Past

June 26, 2000 - December 22, 2020

SQUAR MILNER FINANCIAL SERVICES, LLC

RIA

CRD#: 112483

IRVINE, CA

Past

February 11, 2000 - January 2, 2001

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717

SAN DIEGO, CA

Past

July 28, 1999 - March 10, 2000

1ST GLOBAL CAPITAL CORP.

CRD#: 30349

DALLAS, TX

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/20/1999

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/26/1999

General Securities Representative Examination

Current Firm

BAKER TILLY CAPITAL, LLC

BAKER TILLY CAPITAL | VIRCHOW KRAUSE CAPITAL, LLC | BAKER TILLY CAPITAL, LLC

CRD#: 115333 / SEC#: , 8-53480

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

4807 Innovate Lane, Madison, WI 53718

Mailing Address

Po Box 7398, Madison, WI 53707-7398

Phone number

(800) 362-7301

Established

Wisconsin since 09/22/1999

Firm type

Limited Liability Company

Fiscal year end

May

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
BAKER TILLY ADVISORY GROUP, LP	MANAGING MEMBER
INDA, TYLER RONALD	PRESIDENT	6478455
OLSON, BARBARA R	CHIEF COMPLIANCE OFFICER	6715742
STEWART, SCOTT ALEXANDER	FINOP, POO, PFO	6977422

Disclosures

Regulatory Event

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 P. Milner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BAKER TILLY WEALTH MANAGEMENT, LLC

ALLEGIS INVESTMENT SERVICES, LLC

OSAIC SERVICES, INC.

SUNAMERICA SECURITIES, INC.

INDEPENDENT FINANCIAL GROUP, LLC

THE SEIDLER COMPANIES INCORPORATED

SQUAR MILNER FINANCIAL SERVICES, LLC

INDEPENDENT FINANCIAL GROUP, LLC

1ST GLOBAL CAPITAL CORP.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/20/1999

SIE

Date: 10/1/2018

Series 7

Date: 7/26/1999

Current Firm

BAKER TILLY CAPITAL, LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

BAKER TILLY CAPITAL, LLC

TRUST BUT VERIFY

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