Richard M. Millar
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard Melburn Millar, who also goes by Rick Millar, Richard Melburn Miller, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1984. Richard had worked at 6 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 11, 2009 - June 13, 2014
GROVE POINT INVESTMENTS, LLC
April 14, 2000 - August 11, 2009
CETERA ADVISORS LLC
September 6, 1989 - April 14, 2000
WALNUT STREET SECURITIES, INC.
November 2, 1988 - January 14, 2022
DEMPSEY FINANCIAL SERVICES, INCORPORATED
September 22, 1987 - September 5, 1989
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 25, 1984 - September 29, 1987
VERAVEST INVESTMENTS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
GROVE POINT INVESTMENTS, LLC
CRD#: 1763 / SEC#: 801-undefined, 8-31165
Contact information
FINRA licenses (4 States and Territories)
Disclosures
| Regulatory Event | 17 |
| Arbitration | 3 |
| Bond | 1 |
Red Flags
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.
