Richard C. Miller
Professional summary
Richard Case Miller was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Richard is a previously registered financial professional and started their career in finance in 1991. Prior to being barred, Richard had worked at 6 firms, which includes BANC OF AMERICA INVESTMENT SERVICES INC., NATIONSSECURITIES, BOATMEN'S INVESTMENT SERVICES INC., VERAVEST INVESTMENTS INC., METROPOLITAN LIFE INSURANCE COMPANY, MSI FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 1, 1998 - May 1, 1998
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 13, 1997 - January 1, 1998
NATIONSSECURITIES
August 4, 1994 - August 13, 1997
BOATMEN'S INVESTMENT SERVICES, INC.
July 29, 1992 - July 29, 1994
VERAVEST INVESTMENTS, INC.
January 7, 1991 - June 29, 1992
METROPOLITAN LIFE INSURANCE COMPANY
January 7, 1991 - June 29, 1992
MSI FINANCIAL SERVICES, 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
BANC OF AMERICA INVESTMENT SERVICES, INC.
CRD#: 16361 / SEC#: , 8-33805
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MERRILL LYNCH & CO., INC. | SHAREHOLDER | |
| BENSON, MARK JARRETT | PRESIDENT/CEO/DIRECTOR/CHAIRMAN | 1915552 |
| CALL, JOHN SCOTT | SVP/CHIEF COMPLIANCE OFFICER/DIRECTOR OF COMPLIANCE | 2815968 |
| NEWTH, RONALD JOSEPH | CHIEF OPERATING OFFICER/DIRECTOR | 1454390 |
| OSAKI, ISAAC | CHIEF LEGAL OFFICER | 4910551 |
| ROMANO, JOHN GARY | CFO/DIRECTOR | 5078610 |
Disclosures
| Regulatory Event | 53 |
| Civil Event | 1 |
| Arbitration | 68 |
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.
