Matthew C. Miller
RBC CAPITAL MARKETS | Senior Financial Associate
Alexandria, VA
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CRD#: 5293511
Professional summary
Matthew Miller, who also goes by Matthew Charles Miller Mr., Matthew Miller, is a registered financial advisor currently at RBC CAPITAL MARKETS, LLC located in Alexandria, Virginia.
Matthew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Matthew has worked at 2 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Biography
The child of two CPAs with a “healthy” obsession for the statistics on the back of baseball cards, Matt seemed destined to work with numbers in some capacity. While accounting never appealed to Matt, business and finance did. As Matt spent the early part of his career in capital markets, he yearned for a place where he could maintain longer relationships and have a greater impact on people’s financial lives. A fortunate call from a teaching colleague at George Washington University led to the introduction to The Ross Group team in 2015— and the rest is history.
Matt thoroughly enjoys the investment and planning side of his advisor role to families. He believes all families can achieve realistic financial goals with a simple long-term plan, conservative investing, and management of their emotions. Most importantly, Matt embraces the ever-changing nature of a family and takes pride in being by their side through it all.
Prior to joining The Ross Group, Matt worked at FBR Capital Markets in its Institutional Equity Sales & Trading group and then at Fannie Mae as part of its Fixed Income Securities Marketing group. Matt has passed his Series 7 and 66 security exams. In 2014, Matt had the opportunity to join the GW Investment Institute as an adjunct professor of finance at George Washington University. He is fortunate The Ross Group team allows him to “moonlight” once a week teaching undergraduate students securities analysis and helping to guide them in management of the GW Student Investment Funds, which encompasses more than $3,000,000 of the university’s endowment.
Born and raised in the Washington, D.C. area, Matt is from Laytonsville, Maryland, and graduated from Good Counsel High School. He attended Cornell University where he graduated with a Bachelor of Science degree in communication, concentrating in applied economics and management. While attending Cornell, Matt was a four-year member of the Cornell baseball team, and served as captain of the team his senior year. In 2012, Matt received his MBA from George Washington University with a concentration in finance.
During his free time, Matt enjoys teaching, cheering on Washington, D.C. professional sports teams (as well as his beloved Baltimore Orioles), and playing golf. He currently resides in Alexandria, Virginia with his wife, Carolyn, and two children, Liam and Margot.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Matthew Charles Miller Mr. | Matthew 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.
THE GEORGE WASHINGTON UNIVERSITY; 2121 EYE STREET, NW, WASHINGTON, D.C., WASHINGTON D.C. 20052; UNIVERSITY: START:09/01/15; END:12/31/15; I TEACH A CLASS FOR A STUDENT RUN PORTFOLIO WHICH IS A REAL-MONEY FUND CARVED OUT OF THE UNIVERSITY ENDOWMENT WHERE PUBLIC EQUITY INVESTMENTS ARE MADE;PROFESSOR; 12 HOURS PER MONTH; 0 HOURS DURING TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Matthew Miller's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Matthew 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®
NoneExperience
Current
July 23, 2015 - Present
RBC CAPITAL MARKETS, LLC
Office #2: 5425 Wisconsin Avenue Suite 301, Chevy Chase, MD 20815-3552RIA
BD
CRD#: 31194
Alexandria, VA
Current
July 21, 2015 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 5425 Wisconsin Avenue Suite 301, Chevy Chase, MD 20815-3552RIA
BD
CRD#: 31194
Chevy Chase, MD
Past
March 23, 2007 - November 17, 2011
B. RILEY SECURITIES, INC.
BD
CRD#: 25027
ARLINGTON, VA
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".
RC
RBC CAPITAL MARKETS, LLC
DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED
CRD#: 31194 / SEC#: 801-13059, 8-45411
RIA
Registered Investment Advisory firm - SEC (6/2/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York 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
Arizona(7/22/2015)
RR
California(7/22/2015)
RR
Colorado(5/13/2025)
RR
Connecticut(7/22/2015)
RR
Delaware(7/22/2015)
RR
District of Columbia(7/21/2015)
RR
Florida(7/22/2015)
RR
Georgia(7/22/2015)
RR
Illinois(7/22/2015)
RR
Indiana(7/22/2015)
RR
Kansas(7/22/2015)
RR
Maine(7/22/2015)
RR
Maryland(7/22/2015)
IAR
Maryland(9/9/2022)
RR
Massachusetts(7/22/2015)
RR
Michigan(7/22/2015)
RR
Minnesota(7/22/2015)
RR
Montana(7/22/2015)
RR
Nevada(7/22/2015)
RR
New Hampshire(7/22/2015)
RR
New Jersey(7/22/2015)
RR
New York(7/22/2015)
RR
North Carolina(7/22/2015)
RR
Ohio(7/22/2015)
RR
Oregon(7/22/2015)
RR
Pennsylvania(7/22/2015)
RR
Rhode Island(7/22/2015)
RR
South Carolina(7/22/2015)
RR
Tennessee(7/22/2015)
RR
Texas(7/22/2015)
IAR
Texas(7/23/2015)
RR
Utah(2/13/2020)
RR
Vermont(7/22/2015)
RR
Virginia(7/22/2015)
IAR
Virginia(2/27/2025)
RR
Wisconsin(7/22/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
RC
RBC CAPITAL MARKETS, LLC
DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED
CRD#: 31194 / SEC#: 801-13059, 8-45411
RIA
Registered Investment Advisory firm - SEC (6/2/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
200 Vesey St., New York, NY 10281
Mailing Address
250 Nicollet Mall Suite 1600, Minneapolis, MN 55401
Phone number
(612) 371-2811
Established
Minnesota since 11/01/2010
Firm type
Limited Liability Company
Fiscal year end
October
Firm Size
Large
# of Employees
8,476
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RBC USA HOLDCO CORPORATION | DIRECT OWNER | |
| CARLESIMO, PAUL ADAM | CHIEF COMPLIANCE OFFICER, RBC CAPITAL MARKETS - U.S. | 4718504 |
| ESPENAK, KRISTEN ELIZABETH | CHIEF RISK OFFICER, USA | 5570750 |
| GIEGERICH, ROBERT ARTHUR | PRINCIPAL FINANCIAL OFFICER | 5736294 |
| GLASSMAN, DORJE TSERING | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 6568226 |
| LISCHIN, MATTHEW CODY | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 4974723 |
| O'CONNOR, SEAN WALTER | CHIEF COMPLIANCE OFFICER, RBC WEALTH MANAGEMENT - U.S. | 6578918 |
| PENN, JOHN CHRISTOPHER | GENERAL COUNSEL | 5135403 |
| SAGISSOR, THOMAS STEVEN | PRESIDENT OF RBC WEALTH MANAGEMENT | 2429425 |
| SCHREINER, CINDY LOUISE | US WEALTH MANAGEMENT PRINCIPAL OPERATIONS OFFICER | 1470050 |
| SPERDUTO, VITO ANTONIO | DIRECTOR, CEO OF U.S. CAPITAL MARKETS & CHAIRMAN OF THE BOARD | 2524961 |
| THORNE, BRETT LANE | PRESIDENT, RBC CLEARING & CUSTODY | 2523268 |
| THURLOW, JOHN J | CHIEF OPERATING OFFICER | 5726613 |
Regulatory assets under management
| Total Number of Accounts | 477,674 |
| AUM (Assets Under Management) | $ 259,962,335,074 |
Disclosures
| Regulatory Event | 364 |
| Civil Event | 3 |
| Arbitration | 114 |
| Bond | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 08/27/2024 | ||
| 09/14/2023 |
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.
Company Information
RBC CAPITAL MARKETS, LLC
Senior Financial AssociateCRD#: 31194Alexandria, VATRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
