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RM

Richard L. Miller

SAXONY SECURITIES
St. Louis, MO 63123
Some features on this profile are disabled
CRD#: 7878615
RM

Professional summary

Richard Leonard Miller, who also goes by Rick Miller, is a registered financial professional currently at SAXONY SECURITIES, INC. located in St. Louis, Missouri.

Richard is registered as a RR (Registered Representative) and started their career in finance in 2024. Richard has worked at 1 firm and has passed the Series 63, Series 22TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

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

February 28, 2024 - Present

SAXONY SECURITIES, INC.

Office #1: 11152 S Towne Square, St. Louis, MO 63123
BD
CRD#: 115547
St. Louis, MO

State Registrations and Notice Filings

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

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
California
(2/29/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 1/13/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 22TO
Date: 2/28/2024
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
SIE
Date: 12/12/2023
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

SS
SAXONY SECURITIES, INC.
SAXONY ADVISORS | SAXONY SECURITIES, INC. | SAXONY SECURITIES

CRD#: 115547 / SEC#: , 8-53490

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
11152 S Towne Square, St. Louis, MO 63123
Mailing Address
11152 S Towne Square, St. Louis, MO 63123
Phone number
(314) 963-9336
Established
Missouri since 07/13/2001
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SAXONY HOLDINGS, INC.SHAREHOLDER
CLARK, BRIAN LESLEYCFO4802438
GRIFFARD, RICHARD EDWARDPRESIDENT/CEO/DIRECTOR2472251
KLUMP, RYAN CHRISTOPHERCOO4762698
MATARAZZI, NATHAN DOMENICOFINOP, PFO AND POO4827090
PALOS, KURT ROBERTVICE PRESIDENT6063745
PFEIFFER, STEPHANIE ANNCCO2278515

Disclosures

Regulatory Event2
Arbitration1

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

SAXONY SECURITIES, INC.

CRD#: 115547St. Louis, MO 63123

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