DM
David B. Miller
RBC CAPITAL MARKETS
Easton, MD 21601-3120
Some features on this profile are disabled
CRD#: 1857066
DM
Professional summary
David Brian Miller, CFP®, CIMA®, who also goes by Dave Miller, is a registered financial advisor currently at RBC CAPITAL MARKETS, LLC located in Easton, Maryland.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. David has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 6 exams.
Question & Answer
What are your service offerings?
Investment Planning
Business Succession Planning
Insurance Planning
Comprehensive Financial Planni...
Retirement Planning
Are you a "fiduciary"?
Yes
Aliases
Dave Miller
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.
(1) DAVID MILLER / MUSCIAN / 2349 CAMBRIDGE WALK BALTIMORE , MARYLAND 21224 / MUSICIAN / PRIVATELY HELD / START DATE 01/01/2004 / 16 HRS.
(2) Name of Entity - David Miller
Address - PO Box 666 St. Michaels, MD 21663
Business Description - Musician
Business is not investment related
Projected Start Date: 10/01/2004
Capacity: Sole Proprietor
Duties Performed: Play Music
Hours Devoted to this OBA per Month: 10
Hours Devoted to this OBA during business hours: 0
(3) Name: Archbishop Curley High School board
Address: 3701 Sinclair Lane Baltimore, MD 21213
Business Description: High School
Business is not investment related
Projected Start Date: 10/01/20
Capacity: Board of Directors *
Duties Performed: As a member of the board I will be offer advice and vote on a myriad of issues that occur with a private high school and as a member of the finance committee I may offer advice on cash holdings.
Devoted to this OBA per Month: 2
Hours Devoted to this OBA during business hours: 1
CRS (Client Relationship Summary) - RIA
Click below to view David Brian Miller's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Brian 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®
CFP®
Start date: 2003
Experience
Current
August 21, 2019 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 30 Goldsborough Street Suite 200, Easton, MD 21601-3120RIA
BD
CRD#: 31194
Easton, MD
Current
August 21, 2019 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 30 Goldsborough Street Suite 200, Easton, MD 21601-3120RIA
BD
CRD#: 31194
Easton, MD
Past
November 17, 2010 - September 2, 2019
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
HUNT VALLEY, MD
Past
November 17, 2010 - September 2, 2019
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
HUNT VALLEY, MD
Past
August 20, 2004 - November 19, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
HUNT VALLEY, MD
Past
August 20, 2004 - November 19, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
HUNT VALLEY, MD
Past
September 24, 1997 - August 26, 2004
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
BALTIMORE, MD
Past
July 23, 1997 - August 26, 2004
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
January 18, 1993 - July 24, 1997
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
July 15, 1991 - January 6, 1993
KIDDER, PEABODY & CO. INCORPORATED
BD
CRD#: 7613
NEW YORK, NY
Past
June 15, 1989 - July 3, 1991
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
January 10, 1989 - July 3, 1989
NYLIFE SECURITIES LLC
BD
CRD#: 5167
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
RC
RBC CAPITAL MARKETS, LLC
DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED
CRD#: 31194 / SEC#: 801-13059, 8-45411
RIA
Registered Investment Advisory firm - SEC (6/2/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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.RR
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
RR
Alabama(10/7/2022)
RR
Arizona(8/21/2019)
RR
California(8/21/2019)
RR
Colorado(8/21/2019)
RR
Delaware(9/3/2019)
RR
District of Columbia(8/21/2019)
RR
Florida(8/21/2019)
RR
Maine(5/1/2023)
RR
Maryland(8/21/2019)
IAR
Maryland(8/21/2019)
RR
Massachusetts(8/21/2019)
RR
Michigan(8/21/2019)
RR
Nevada(8/21/2019)
RR
New Hampshire(5/1/2023)
RR
New Mexico(8/19/2020)
RR
New York(8/21/2019)
RR
North Carolina(8/21/2019)
RR
Oklahoma(10/30/2023)
RR
Oregon(8/21/2019)
RR
Pennsylvania(8/21/2019)
RR
Rhode Island(8/21/2019)
RR
South Carolina(10/20/2022)
RR
Tennessee(9/11/2025)
RR
Texas(8/21/2019)
IAR
Texas(8/21/2019)
RR
Virginia(8/21/2019)
RR
Washington(4/20/2023)
RR
West Virginia(8/21/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
RC
RBC CAPITAL MARKETS, LLC
DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED
CRD#: 31194 / SEC#: 801-13059, 8-45411
RIA
Registered Investment Advisory firm - SEC (6/2/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
200 Vesey St., New York, NY 10281
Mailing Address
250 Nicollet Mall Suite 1600, Minneapolis, MN 55401
Phone number
(612) 371-2811
Established
Minnesota since 11/01/2010
Firm type
Limited Liability Company
Fiscal year end
October
Firm Size
Large
# of Employees
8,476
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RBC USA HOLDCO CORPORATION | DIRECT OWNER | |
| CARLESIMO, PAUL ADAM | CHIEF COMPLIANCE OFFICER, RBC CAPITAL MARKETS - U.S. | 4718504 |
| ESPENAK, KRISTEN ELIZABETH | CHIEF RISK OFFICER, USA | 5570750 |
| GIEGERICH, ROBERT ARTHUR | PRINCIPAL FINANCIAL OFFICER | 5736294 |
| GLASSMAN, DORJE TSERING | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 6568226 |
| LISCHIN, MATTHEW CODY | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 4974723 |
| O'CONNOR, SEAN WALTER | CHIEF COMPLIANCE OFFICER, RBC WEALTH MANAGEMENT - U.S. | 6578918 |
| PENN, JOHN CHRISTOPHER | GENERAL COUNSEL | 5135403 |
| SAGISSOR, THOMAS STEVEN | PRESIDENT OF RBC WEALTH MANAGEMENT | 2429425 |
| SCHREINER, CINDY LOUISE | US WEALTH MANAGEMENT PRINCIPAL OPERATIONS OFFICER | 1470050 |
| SPERDUTO, VITO ANTONIO | DIRECTOR, CEO OF U.S. CAPITAL MARKETS & CHAIRMAN OF THE BOARD | 2524961 |
| THORNE, BRETT LANE | PRESIDENT, RBC CLEARING & CUSTODY | 2523268 |
| THURLOW, JOHN J | CHIEF OPERATING OFFICER | 5726613 |
Regulatory assets under management
| Total Number of Accounts | 477,674 |
| AUM (Assets Under Management) | $ 259,962,335,074 |
Disclosures
| Regulatory Event | 364 |
| Civil Event | 3 |
| Arbitration | 114 |
| Bond | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 08/27/2024 | ||
| 09/14/2023 |
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.
