Richard Lee Miller
Professional Summary
Richard Lee Miller is a registered financial advisor currently at T & M FINANCIAL INC. located in Topeka, Kansas and TANDEM SECURITIES, INC. located in Topeka, Kansas. Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Richard has worked at 5 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 22, Series 6, Series 51 and Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
43 years in the financial services industry
Current & Past Employments
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Current Firm
T & M FINANCIAL INC.
Contact Information
Main Address
3706 Sw Topeka Blvd. Suite 400, Topeka, KS 66609Phone Number
(785) 266-8333# of Employees
3Documents
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(11/14/2008)
(11/12/2008)
(11/12/2008)
(10/21/2021)
(11/12/2008)
(5/14/2019)
(11/12/2008)
(11/14/2008)
(11/14/2008)
(5/10/2018)
(10/21/2021)
(3/4/2026)
(11/14/2008)
(11/14/2008)
(11/12/2008)
(11/14/2008)
(10/21/2021)
(10/1/2015)
(9/17/2021)
(11/12/2008)
(11/14/2008)
(3/11/2025)
(9/1/2017)
(11/12/2008)
(11/14/2008)
(5/1/2018)
(11/14/2008)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 22 — Direct Participation Programs Representative Examination
Passed Dec 1983About the Series 22 examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Sep 1983About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Oct 2007About the Series 26 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Richard Lee Miller's CRS (Customer Relationship Summary).
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