Stephen P. Miller

FORWARD WEALTH MANAGEMENT

CHARLOTTE, NC

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CRD#: 4112825

Professional summary

Stephen Paul Miller, CFP® is a registered financial advisor currently at FORWARD WEALTH MANAGEMENT, LLC located in Charlotte, North Carolina.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Stephen has worked at 6 firms and has passed the Series 65, Series 63 and Series 7 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.

Stephen Miller is licensed to sell life insurance and may engage in product sales with our clients, for which he will receive additional compensation. Any commissions received through life or health insurance sales do not offset advisory fees the client may pay for advisory services under FWM. This activity accounts for 5% of his time.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Paul Miller'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®

CFP^®

CRD#: 23988

LONG ISLAND CITY, NY

Past

March 2, 2000 - March 11, 2002

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

March 2, 2000 - March 11, 2002

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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

Louisiana
(7/17/2017)

IAR

North Carolina
(5/12/2014)

IAR

Texas
(5/14/2014)

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: 4/18/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/10/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/1/2000

General Securities Representative Examination

Current Firm

FORWARD WEALTH MANAGEMENT, LLC

CRD#: 171362 / SEC#:

Louisiana

Registered Investment Advisory firm - (7/17/2017 Approved)

North Carolina

Registered Investment Advisory firm - (5/1/2014 Approved)

Texas

Registered Investment Advisory firm - (6/15/2016 Approved)

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Contact information

Main Address

6201 Fairview Road Suite 200, Charlotte, NC 28210

Mailing Address

Phone number

(704) 595-3386

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	130
AUM (Assets Under Management)	$ 64,806,414

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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Stephen P. Miller

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

FORWARD WEALTH MANAGEMENT, LLC

HAYDEN HARPER WEALTH ADVISORY, LLC

ROUND TABLE WEALTH MANAGEMENT

CITICORP INVESTMENT SERVICES

CITICORP INVESTMENT SERVICES

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/18/2002

Series 63

Date: 3/10/2000

Series 7

Date: 3/1/2000

Current Firm

FORWARD WEALTH MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

FORWARD WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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