Charles Miller is a registered investment advisor, based in Dalton, GA, with 28 years of industry experience.
Location
105 N Pentz Street, Dalton, GA, 30720
Get directionsHistory
Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
September 2009Settled
Customer Dispute
April 2002Denied
Other Business Activities
Charles is a 50% owner of CMSW Farms, LLC, overseeing the farm operations. This activity is not investment-related and requires minimal time.
Employment History
Current Registrations
Steward Partners Investment Advisory, LLC
November 2023 - Present · 2 yrs 8 mos
Steward Partners Investment Solutions, LLCBroker
November 2023 - Present · 2 yrs 8 mos
Previous Registrations
Wells Fargo Clearing Services, LLC
September 2016 - November 2023 · 7 yrs 2 mos
Wells Fargo Clearing Services, LLCBroker
August 2016 - November 2023 · 7 yrs 3 mos
Morgan Stanley
June 2009 - September 2016 · 7 yrs 3 mos
Morgan StanleyBroker
June 2009 - September 2016 · 7 yrs 3 mos
Morgan Stanley & CO. Incorporated
December 2008 - June 2009 · 6 mos
Morgan Stanley & CO. IncorporatedBroker
December 2008 - June 2009 · 6 mos
Morgan Stanley & CO. Incorporated
December 2008 - December 2008 · 0 mos
Citigroup Global Markets INC.
July 2003 - December 2008 · 5 yrs 5 mos
Citigroup Global Markets INC.Broker
June 2003 - December 2008 · 5 yrs 6 mos
Fahnestock & CO. INC.Broker
January 2003 - July 2003 · 6 mos
Cibc World Markets CORP.Broker
November 1998 - January 2003 · 4 yrs 2 mos
J.C. Bradford & CO.Broker
October 1997 - October 1998 · 1 yr
State Registrations25 states
ALARCACOCTFLGAILLAMAMDMIMONCNMNYOHPASCTNTXUTVAWAWI
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.