RM
Richard B. Miller
NFSG
HALLANDALE, FL 33009
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CRD#: 2472378
RM
Professional summary
Richard Brad Miller, ChFC®, CLU®, who also goes by Rick Miller, is a registered financial advisor currently at NFSG CORPORATION located in Hallandale, Florida and NEWBRIDGE SECURITIES CORPORATION located in Hallandale, Florida.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Richard has worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rick 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. RICKENBACK REAL ESTATE: AVENTURA, FL, . NATURE OF BUSINESS:REAL ESTATE, TITLE: SALES ASSOC. SINCE MARCH 1997, DUTIES: LISTING PROPERTIES FOR SALE AND SHOWINGS FOR PURCHASE, % OF TIME: 2%.
2) RICH MILLER: INSURANCE AGENT-SOLE PROPRIETORSHIP, FLORIDA/1994, FIXED/INDEXED ANNUITIES AND LIFE INSURANCE, 100%.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Brad 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®
Experience
Current
March 13, 2007 - Present
NFSG CORPORATION
Office #1: 800 Se 4th Avenue, Suite 803, Hallandale, FL 33009RIA
CRD#: 130814
HALLANDALE, FL
Current
February 20, 2007 - Present
NEWBRIDGE SECURITIES CORPORATION
Office #1: 800 Se 4th Avenue, Suite 803, Hallandale, FL 33009BD
CRD#: 104065
Hallandale, FL
Past
November 23, 2005 - February 20, 2007
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
HIALEAH, FL
Past
April 23, 2005 - February 20, 2007
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
HIALEAH, FL
Past
September 26, 2000 - April 23, 2005
SOUTHTRUST SECURITIES, LLC
BD
CRD#: 17922
BIRMINGHAM, AL
Past
April 7, 1994 - September 29, 2000
SSI SECURITIES CORP.
BD
CRD#: 8275
BOCA RATON, FL
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".
NC
NFSG CORPORATION
NEWBRIDGE FINANCIAL SERVICES GROUP, INC. | NFSG CORPORATION | NEWBRIDGE FINANCIAL SERVICES, INC.
CRD#: 130814 / SEC#: 801-68448
RIA
Registered Investment Advisory firm - (11/6/2007 Approved)Arizona
Registered Investment Advisory firm - (11/8/2007 Terminated)California
Registered Investment Advisory firm - (11/8/2007 Terminated)Connecticut
Registered Investment Advisory firm - (11/8/2007 Terminated)Florida
Registered Investment Advisory firm - (12/12/2007 Terminated)Illinois
Registered Investment Advisory firm - (11/6/2007 Terminated)Indiana
Registered Investment Advisory firm - (11/8/2007 Terminated)Nevada
Registered Investment Advisory firm - (12/17/2007 Terminated)New Jersey
Registered Investment Advisory firm - (11/14/2007 Terminated)North Carolina
Registered Investment Advisory firm - (11/8/2007 Terminated)Pennsylvania
Registered Investment Advisory firm - (11/13/2007 Terminated)Tennessee
Registered Investment Advisory firm - (12/8/2007 Terminated)Texas
Registered Investment Advisory firm - (11/8/2007 Terminated)Virginia
Registered Investment Advisory firm - (11/8/2007 Terminated)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
Arizona(2/27/2024)
RR
California(12/13/2016)
RR
Connecticut(5/3/2007)
RR
Florida(2/20/2007)
IAR
Florida(3/13/2007)
RR
Georgia(5/16/2008)
RR
Illinois(10/26/2007)
RR
Massachusetts(1/5/2023)
RR
New York(5/2/2007)
RR
Rhode Island(7/10/2007)
RR
South Carolina(5/1/2019)
RR
Virginia(11/7/2011)
RR
Wyoming(9/27/2012)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
NC
NFSG CORPORATION
NEWBRIDGE FINANCIAL SERVICES GROUP, INC. | NFSG CORPORATION | NEWBRIDGE FINANCIAL SERVICES, INC.
CRD#: 130814 / SEC#: 801-68448
RIA
Registered Investment Advisory firm - (11/6/2007 Approved)Arizona
Registered Investment Advisory firm - (11/8/2007 Terminated)California
Registered Investment Advisory firm - (11/8/2007 Terminated)Connecticut
Registered Investment Advisory firm - (11/8/2007 Terminated)Florida
Registered Investment Advisory firm - (12/12/2007 Terminated)Illinois
Registered Investment Advisory firm - (11/6/2007 Terminated)Indiana
Registered Investment Advisory firm - (11/8/2007 Terminated)Nevada
Registered Investment Advisory firm - (12/17/2007 Terminated)New Jersey
Registered Investment Advisory firm - (11/14/2007 Terminated)North Carolina
Registered Investment Advisory firm - (11/8/2007 Terminated)Pennsylvania
Registered Investment Advisory firm - (11/13/2007 Terminated)Tennessee
Registered Investment Advisory firm - (12/8/2007 Terminated)Texas
Registered Investment Advisory firm - (11/8/2007 Terminated)Virginia
Registered Investment Advisory firm - (11/8/2007 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1200 North Federal Highway Suite 400, Boca Raton, FL 33432
Mailing Address
Phone number
(954) 334-3450
Established
Firm type
Fiscal year end
# of Employees
89
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,587 |
| AUM (Assets Under Management) | $ 813,494,847 |
Red Flags
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Company Information
NFSG CORPORATION
CRD#: 130814Hallandale, FL 33009TRUST BUT VERIFY
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Contact information
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