Ronald P. Miller
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.
Ronald Patrick Miller was a registered financial advisor .
Ronald is a previously registered financial advisor and started their career in finance in 1972. Ronald had worked at 9 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 12, 2009 - April 4, 2012
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
November 8, 2007 - January 12, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 25, 2007 - April 4, 2012
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 12, 2006 - April 12, 2007
JANNEY MONTGOMERY SCOTT LLC
January 29, 2001 - April 12, 2007
JANNEY MONTGOMERY SCOTT LLC
October 9, 1984 - January 31, 2001
HERZOG, HEINE, GEDULD, LLC
February 22, 1982 - September 4, 1984
GRUNTAL & CO., L.L.C.
September 17, 1981 - April 1, 1982
E. W. SMITH CO.
December 3, 1980 - July 26, 1981
BOENNING & SCATTERGOOD, INC.
March 15, 1979 - December 10, 1980
W.H. NEWBOLD'S SON & CO., INC.
July 27, 1972 - March 15, 1979
COLLINGS LEGG MASON, INC.
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
Series 1
Date: 7/24/1972
Registered Representative ExaminationCurrent Firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,107,860 |
| AUM (Assets Under Management) | $ 390,042,864,529 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
