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STEPHEN JOSEPH MILES
STEPHEN J MILES
CRD#: 2936671
IA
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UBS FINANCIAL SERVICES INC.CRD#: 8174 600 SUPERIOR AVE E. - 27TH FLOOR
CLEVELAND, OH 44114
CLEVELAND, OH 44114
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Disclosures
27
Years of Experience
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State Registrations
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Arizona 3/1/2012
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Missouri 10/3/2022
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California 5/23/2011
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Nevada 2/5/2021
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Colorado 2/5/2021
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North Carolina 3/1/2012
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Connecticut 3/1/2012
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Ohio 5/21/2004
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Delaware 2/4/2013
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Ohio 5/24/2004
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Florida 3/1/2012
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Oklahoma 2/5/2021
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Georgia 3/1/2012
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Pennsylvania 2/5/2021
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Illinois 2/5/2021
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South Carolina 3/1/2012
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Indiana 2/5/2021
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Texas 3/1/2012
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Kentucky 3/1/2012
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Texas 7/19/2012
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Maryland 3/18/2014
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Virginia 3/1/2012
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Massachusetts 2/5/2021
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Washington 3/1/2012
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Michigan 3/1/2012
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Wisconsin 3/1/2012
SRO Registrations
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Registered with this firm since 5/24/2004
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Registered with this firm since 5/21/2004
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/02/2003 - 05/27/2004 | CLEVELAND, OH | |
B | 03/09/1999 - 05/27/2004 | ST. LOUIS, MO | |
B | 11/18/1997 - 02/11/1999 | NEW YORK, NY |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.