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CM

Charles R. Miller

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CRD#: 724538
CM

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.

Charles Raymond Miller, who also goes by Chuck Miller, was a registered financial professional .

Charles is a previously registered financial professional and started their career in finance in 1981. Charles had worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Chuck 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)Name of Business: Financial Consulting Group, Inc. Address: 111 Veterans Mem Blvd Ste 1506, Metairie, LA, 70005, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: Yes Start Date: 04/01/2017 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 2-10 Description of duties: Advise clients on investments and financial planning issues. (2)Name of Business: NA Address: 111 Veterans Mem Blvd Ste 1506, Metairie, LA, 70005, United States Activity Type: Non-variable Insurance Position/Title: Agent Investment Related: Yes Start Date: 11/07/2007 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Life insurance sales: nearly all life insurance and health insurance goes thru RJIG, however on rare occassion an outside application is submitted. (3)Name of Business: Vinson Guard Service, Inc. Address: 955 Howard Ave., New Orleans, LA, 70113, United States Activity Type: Board Member, Board Subcommittee Member, Officer, or Director Position/Title: Director Investment Related: No Start Date: 09/11/2017 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Attend Directors Meetings quarterly. Advise as to the operations and strategic direction of company. This is a privately owned company providing security guard services to businesses and governmental entities.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 2, 2009 - January 24, 2024

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA
CRD#: 149018
METAIRIE, LA
Past

November 14, 2007 - January 2, 2009

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA
CRD#: 6694
METAIRIE, LA
Past

November 8, 2007 - January 24, 2024

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
METAIRIE, LA
Past

August 19, 2002 - March 13, 2003

FINANCIAL CONSULTING GROUP INC.

RIA
CRD#: 116973
METAIRIE, LA
Past

January 13, 1995 - November 9, 2007

CETERA WEALTH SERVICES, LLC

RIA
CRD#: 13572
METAIRIE, LA
Past

January 6, 1995 - November 9, 2007

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
METAIRIE, LA
Past

March 13, 1989 - January 9, 1995

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
SPRINGFIELD, MA
Past

June 29, 1984 - March 20, 1989

ASSOCIATED SECURITIES CORP.

BD
CRD#: 12969
BOSTON, MA
Past

June 22, 1982 - July 6, 1984

FINANCIAL PLANNERS EQUITY CORPORATION

BD
CRD#: 7420
Past

April 5, 1982 - May 5, 1982

FSC SECURITIES CORPORATION

BD
CRD#: 7461
Past

February 23, 1981 - March 26, 1982

FINANCIAL PLANNERS EQUITY CORPORATION

BD
CRD#: 7420

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".
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
MARY ELIZABETH HAAS | RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | RAYMOND JAMES ADVISORY SERVICES

CRD#: 149018 / SEC#: 801-69815

RIA
Registered Investment Advisory firm - (12/23/2008 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/9/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/21/1981
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/24/1984
General Securities Principal Examination

Current Firm

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
MARY ELIZABETH HAAS | RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | RAYMOND JAMES ADVISORY SERVICES

CRD#: 149018 / SEC#: 801-69815

RIA
Registered Investment Advisory firm - (12/23/2008 Approved)
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Contact information

Main Address
880 Carillon Parkway, Saint Petersburg, FL 33716
Mailing Address
Phone number
(727) 567-3020
Established
Firm type
Fiscal year end
# of Employees
6,727

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC. WRAP BROCHURE (6/30/2025)
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC. FIRM BROCHURE (6/30/2025)

Regulatory assets under management

Total Number of Accounts1,030,208
AUM (Assets Under Management)$ 344,868,106,925

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
09/12/2025
Cover Page
Report
08/21/2024
Cover Page
Report
09/27/2023
Cover Page
Report

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

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

CRD#: 149018

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