Stephen Paul Miller

Employer firm

Forward Wealth Management, LLC CRD 171362

$94.1M regulatory AUM 1 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)

From the firm’s Form ADV. Read the guides:

Current Employers

Forward Wealth Management, Llc

6201 Fairview Road Suite 200, Charlotte, NC 28210 • United States

Current Registrations

Authority	Category	Status	Date
LA	RA	APPROVED	2017-07-17
TX	RA	APPROVED	2016-06-15
NC	RA	APPROVED	2014-05-12

LA RA
APPROVED

Since 2017-07-17
TX RA
APPROVED

Since 2016-06-15
NC RA
APPROVED

Since 2014-05-12

Branch Locations

Charlotte, NC • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Forward Wealth Management, Llc	Charlotte	NC	05/2014	Present

05/2014 → Present

Forward Wealth Management, Llc

Charlotte, NC

Previous Registrations

2010-04-26 → 2014-05-15

Hayden Harper Wealth Advisory, Llc

Charlotte, NC
2006-04-25 → 2009-05-13

Round Table Wealth Management

New York, NY
2003-02-10 → 2005-07-07

Citicorp Investment Services

Stamford, CT

Other Businesses

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.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2002-04-18
S63	Uniform Securities Agent State Law Examination	2000-03-10

S65 Uniform Investment Adviser Law Examination

2002-04-18
S63 Uniform Securities Agent State Law Examination

2000-03-10

Designations

Certified Financial Planner
Chartered Financial Analyst

View on SEC IAPD