Richard R. Miller

RICHARD MILLER FINANCIAL SERVICES

ZANESVILLE, OH 43701

CRD#: 4275076

Some features on this profile are disabled

Professional summary

Richard Roy Miller is a registered financial advisor currently at RICHARD MILLER FINANCIAL SERVICES, LLC located in Zanesville, Ohio.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Richard has worked at 3 firms and has passed the Series 66, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Roy 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®

None

Experience

Current

March 1, 2012 - Present

RICHARD MILLER FINANCIAL SERVICES, LLC

Office #1: 2794 Maple Ave, Zanesville, OH 43701

RIA

CRD#: 159553

ZANESVILLE, OH

Past

August 11, 2008 - October 14, 2011

LPL FINANCIAL LLC

RIA

CRD#: 6413

ZANESVILLE, OH

Past

August 8, 2008 - October 14, 2011

LPL FINANCIAL LLC

CRD#: 6413

ZANESVILLE, OH

Past

July 11, 2006 - August 13, 2008

THRIVENT INVESTMENT MANAGEMENT INC.

RIA

CRD#: 18387

ZANESVILLE, OH

Past

October 13, 2000 - August 13, 2008

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

ZANESVILLE, OH

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.

Highlighted states indicate IAR registrations

IAR

Ohio
(3/1/2012)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/18/2004

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 10/16/2003

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/12/2000

Investment Company Products/Variable Contracts Representative Examination

Current Firm

RICHARD MILLER FINANCIAL SERVICES, LLC

CRD#: 159553 / SEC#:

Ohio

Registered Investment Advisory firm - (12/8/2011 Approved)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

2794 Maple Ave, Zanesville, OH 43701

Mailing Address

Phone number

(740) 455-2270

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	92
AUM (Assets Under Management)	$ 8,182,342

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.

Similar Advisors

Ronald Guay

FALCON WEALTH PLANNING, INC.

IAR

San Jose, CA

Lawrence Leitch

LPL FINANCIAL LLC

IAR

TOWSON, MD

Brian Cooke

SANCTUARY ADVISORS, LLC

IAR

Indianapolis, IN

Why AdvisorCheck

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Richard R. Miller

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Roy Miller's CRS (Customer Relationship Summary).

Certified licenses

Experience

RICHARD MILLER FINANCIAL SERVICES, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

THRIVENT INVESTMENT MANAGEMENT INC.

THRIVENT INVESTMENT MANAGEMENT INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 11/18/2004

Series 7

Date: 10/16/2003

Series 6

Date: 10/12/2000

Current Firm

RICHARD MILLER FINANCIAL SERVICES, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

RICHARD MILLER FINANCIAL SERVICES, LLC

TRUST BUT VERIFY

Similar Advisors