RM
Richard J. Milliard
BENJAMIN F. EDWARDS & COMPANY
Melbourne, FL 32901
Some features on this profile are disabled
CRD#: 2202698
RM
Professional summary
Richard Joseph Milliard, who also goes by Richard J Milliard, is a registered financial advisor currently at BENJAMIN F. EDWARDS & COMPANY, INC. located in Melbourne, Florida.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Richard has worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Richard J Milliard
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.
Summer Brook of Melbourne Homeowners Association; non-investment-related; Summer Brook Homeowner Association, PO Box 410914, Melbourne, FL 32941; Residential Homeowners Association with a 5 member board. The board has monthly meeting to discuss the budget, financial position and concerns of any association member; President; 8-5-2024 start date; 8 hours/month; 1 hr/month during trading hours; Preside over meetings, Vote on issues with the other directors, sign off on monthly financial statements
CRS (Client Relationship Summary) - RIA
Click below to view Richard Joseph Milliard's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard Joseph Milliard'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®
NoneExperience
Current
February 9, 2015 - Present
BENJAMIN F. EDWARDS & COMPANY, INC.
Office #1: 930 S. Harbor City Blvd Suite 400, Melbourne, FL 32901RIA
BD
CRD#: 146936
Melbourne, FL
Current
January 16, 2015 - Present
BENJAMIN F. EDWARDS & COMPANY, INC.
Office #1: 930 S. Harbor City Blvd Suite 400, Melbourne, FL 32901RIA
BD
CRD#: 146936
Melbourne, FL
Past
January 1, 2008 - January 20, 2015
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
MELBOURNE, FL
Past
January 1, 2008 - January 20, 2015
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
MELBOURNE, FL
Past
March 12, 2007 - January 1, 2008
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
MELBOURNE, FL
Past
March 9, 2007 - January 3, 2008
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
MELBOURNE, FL
Past
October 2, 2002 - March 16, 2007
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
MELBORNE, FL
Past
October 1, 2002 - March 16, 2007
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
MELBORNE, FL
Past
June 6, 2000 - September 18, 2002
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
VIERA, FL
Past
June 5, 2000 - September 18, 2002
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
ST. LOUIS, MO
Past
April 22, 1999 - June 26, 2000
NYLIFE DISTRIBUTORS LLC
BD
CRD#: 35350
JERSEY CITY, NJ
Past
May 16, 1998 - April 23, 1999
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
Past
October 2, 1995 - January 22, 1998
JOHN HANCOCK DISTRIBUTORS LLC
BD
CRD#: 5249
BOSTON, MA
Past
July 23, 1994 - September 21, 1995
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
August 6, 1993 - July 11, 1994
FIRST UNION BROKERAGE SERVICES, INC.
BD
CRD#: 8112
CHARLOTTE, NC
Past
February 4, 1992 - August 11, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
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".
BF
BENJAMIN F. EDWARDS & COMPANY, INC.
BENJAMIN F. EDWARDS | MSHB, LLC | MSHB | BENJAMIN F. EDWARDS & COMPANY, LLC | BENJAMIN F. EDWARDS & COMPANY, INCORPORATED | BENJAMIN F. EDWARDS & COMPANY, INC. | BENJAMIN F. EDWARDS & COMPANY
CRD#: 146936 / SEC#: 801-71421, 8-68023
RIA
Registered Investment Advisory firm - SEC (5/6/2010 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City 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
California(6/24/2025)
RR
Connecticut(10/7/2019)
RR
Florida(1/16/2015)
IAR
Florida(2/9/2015)
RR
Georgia(1/16/2015)
RR
Iowa(1/16/2015)
RR
Kentucky(1/16/2015)
RR
Massachusetts(5/6/2025)
RR
Michigan(5/26/2022)
RR
North Carolina(1/16/2015)
RR
Ohio(1/16/2015)
RR
Oregon(1/16/2015)
RR
Tennessee(9/20/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
BF
BENJAMIN F. EDWARDS & COMPANY, INC.
BENJAMIN F. EDWARDS | MSHB, LLC | MSHB | BENJAMIN F. EDWARDS & COMPANY, LLC | BENJAMIN F. EDWARDS & COMPANY, INCORPORATED | BENJAMIN F. EDWARDS & COMPANY, INC. | BENJAMIN F. EDWARDS & COMPANY
CRD#: 146936 / SEC#: 801-71421, 8-68023
RIA
Registered Investment Advisory firm - SEC (5/6/2010 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
One North Brentwood Blvd, Suite 850 Suite 850, St. Louis, MO 63105
Mailing Address
One North Brentwood Blvd, Suite 850, St. Louis, MO 63105
Phone number
(314) 726-1600
Established
Missouri since 08/19/2008
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
736
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BENJAMIN EDWARDS, INC. | OWNER | |
| BAUMANN, NEAL JAMES | DIRECTOR/REGIONAL DIRECTOR | 1480636 |
| BRANDSTADT, TODD HEINRICH | DIRECTOR/DIRECTOR OF BRANCHES | 2631699 |
| DELINIERE, ROLAND HAROLD | DIRECTOR/REGIONAL DIRECTOR | 1038322 |
| EDWARDS, BENJAMIN FRANKLIN | DIRECTOR/ASSISTANT DIRECTOR OF BRANCHES | 6670972 |
| EDWARDS, BENJAMIN FRANKLIN IV | CHAIRMAN/CHIEF EXECUTIVE OFFICER, PRESIDENT | 1061490 |
| FELLOWS, MARK PATTERSON | DIRECTOR/REGIONAL DIRECTOR | 1600661 |
| HANSON, DAVID WILLIAM | DIRECTOR | 715793 |
| KELLER, CHRISTOPHER M | DIRECTOR/DIRECTOR OF OPERATIONS, TECHNOLOGY & ANALYTICS | 4346617 |
| MARTIN, THOMAS HAYDEN JR | DIRECTOR/CHIEF FINANCIAL OFFICER | 1459719 |
| MUCKLER, MATTHEW PAUL | CHIEF COMPLIANCE OFFICER, ADVISORY | 4762147 |
| RUBENSTEIN, DOUGLAS DAVID | DIRECTOR/COO AND DIRECTOR OF CAPITAL MARKETS | 1138380 |
| SALAMON, MATTHEW R | DIRECTOR/CORPORATE SECRETARY & DIRECTOR OF LAW & LEGAL SERVICES, CHIEF COUNSEL | 1858581 |
| STEVENS, KATELYN CLARE | CHIEF COMPLIANCE OFFICER, BROKERAGE | 5752247 |
| WELKER, JOANNE MARIE | DIRECTOR/MANAGER ADVISORY SERVICES | 2300075 |
| WHITING, CHRISTOPHER MARK | DIRECTOR OF FINANCIAL STRATEGIES GROUP | 2242513 |
| WISDOM, BILLY JOE | DIRECTOR/DIRECTOR OF REGULATORY & OVERSIGHT SERVICES | 1810908 |
Regulatory assets under management
| Total Number of Accounts | 49,475 |
| AUM (Assets Under Management) | $ 15,656,482,908 |
Disclosures
| Regulatory Event | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/23/2025 | ||
| 12/20/2023 | ||
| 10/28/2022 |
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.
