Richard L. Miller

T & M FINANCIAL

Topeka, KS 66609

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CRD#: 1176011

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 26 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.

SELLS TRADITIONAL INSURANCE PRODUCTS:ASSURITY,STATE LIFE, STANDARD LIFE, TIME INS, CRUMP, AETNA, INTEGRITY, AM NETWORK,AM NAT.-AGENT-START 1972-20 HRS/WK. OWNER/OPERATOR T & M FINANCIAL INC 3706 SW TOPEKA TOPEKA KS STARTED 11/1972 DEVOTE 60 HOURS PER WEEK PROPERTY RENTAL 3706 SW TOPEKA TOPEKA KS STARTED JUNE 1982 OFFICE & RENTAL HOUSE MANAGEMENT DEVOTE 10 HOURS PER YEAR TANDEM ADVISORS INC. 3706 SW TOPEKA STE418 YES INVESTMENT RELATED, POSITIONA IAR. DECEMBER 2008 1HR PR MONTH

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Lee 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®

None

Experience

Current

May 10, 2018 - Present

T & M FINANCIAL INC.

Office #1: 3706 Sw Topeka Blvd. Suite 400, Topeka, KS 66609

RIA

CRD#: 291786

Topeka, KS

Current

November 12, 2008 - Present

TANDEM SECURITIES, INC.

Office #1: 3706 Sw Topeka Blvd. Suite 420, Topeka, KS 66609Office #2: 3706 Sw Topeka Boulevard Suite 420, Topeka, KS 66609

CRD#: 140546

Topeka, KS

Past

November 19, 2008 - November 30, 2016

T & M FINANCIAL INC.

RIA

CRD#: 144295

TOPEKA, KS

Past

May 7, 2002 - November 14, 2008

WOODBURY FINANCIAL SERVICES, INC.

RIA

CRD#: 421

TOPEKA, KS

Past

December 10, 1990 - November 14, 2008

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

TOPEKA, KS

Past

September 26, 1983 - December 6, 1990

THE COLUMBIAN SECURITIES CORPORATION

CRD#: 169

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(11/14/2008)

California
(11/12/2008)

Colorado
(11/12/2008)

Connecticut
(10/21/2021)

Florida
(11/12/2008)

Idaho
(5/14/2019)

Illinois
(11/12/2008)

Iowa
(11/14/2008)

Kansas
(11/14/2008)

IAR

Kansas
(5/10/2018)

Louisiana
(10/21/2021)

Minnesota
(11/14/2008)

Missouri
(11/14/2008)

Montana
(11/12/2008)

Nebraska
(11/14/2008)

New York
(10/21/2021)

North Carolina
(10/1/2015)

Ohio
(9/17/2021)

Oklahoma
(11/12/2008)

Pennsylvania
(11/14/2008)

South Dakota
(3/11/2025)

Tennessee
(9/1/2017)

Texas
(11/12/2008)

Virginia
(11/14/2008)

Washington
(5/1/2018)

Wisconsin
(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

State Security Law Exam

IAR

Series 65

Date: 4/9/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/23/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/11/2005

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 12/16/1983

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 9/23/1983

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 51

Date: 9/22/2008

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 10/29/2007

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

T & M FINANCIAL INC.

CRD#: 291786 / SEC#:

Colorado

Registered Investment Advisory firm - (9/9/2021 Revoked)

Kansas

Registered Investment Advisory firm - (5/10/2018 Approved)

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Contact information

Main Address

3706 Sw Topeka Blvd. Suite 400, Topeka, KS 66609

Mailing Address

Phone number

(785) 266-8333

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Richard L. Miller

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Lee Miller's CRS (Customer Relationship Summary).

Certified licenses

Experience

TANDEM SECURITIES, INC.

T & M FINANCIAL INC.

WOODBURY FINANCIAL SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

THE COLUMBIAN SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 4/9/2002

Series 63

Date: 9/23/1983

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 10/11/2005

Series 22

Date: 12/16/1983

Series 6

Date: 9/23/1983

Series 51

Date: 9/22/2008

Series 26

Date: 10/29/2007

FINRA

Current Firm

T & M FINANCIAL INC.

Contact information

Documents

Red Flags

Company Information

T & M FINANCIAL INC.

TRUST BUT VERIFY

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