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Henry Roberts Miller Iv

RBC CAPITAL MARKETS
RICHMOND, VA
·CRD# 840580·49 years experience

Professional Summary

Henry Roberts Miller IV, who also goes by Hank Miller, is a registered financial advisor currently at RBC CAPITAL MARKETS, LLC located in Richmond, Virginia. Henry is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1977. Henry has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Hank Miller

Blog Corner

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

49 years in the financial services industry

Current & Past Employments

RBC CAPITAL MARKETS, LLC·CRD# 31194
RIA
BD
1. Richmond, VA2. 919 East Main Street Suite 2000, Richmond, VA 23219-4622
May 1, 2002 - Present
RBC CAPITAL MARKETS, LLC·CRD# 31194
RIA
BD
919 East Main Street Suite 2000, Richmond, VA 23219-4622
March 9, 2002 - Present
TUCKER ANTHONY INCORPORATED·CRD# 837
BD
Boston, MA
March 28, 2001 - March 9, 2002
BRANCH, CABELL & CO., INC.·CRD# 6820
BD
Richmond, VA
July 26, 1977 - March 28, 2001

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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)

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

8,781

SEC notice filing (52 States and Territories)

Registered to provide investment advisory services in 52 US states and territories.

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 52 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

RBC INSTITUTIONAL CONSULTING DISCLOSURE DOCUMENT (9/30/2026)

Direct owners and executive officers

NamePositionCRD#
RBC USA HOLDCO CORPORATIONDIRECT OWNER—
ARMSTRONG, ROBERT MICHAELCEO, WEALTH MANAGEMENT1530547
CARLESIMO, PAUL ADAMCHIEF COMPLIANCE OFFICER, RBC CAPITAL MARKETS - U.S.4718504
ESPENAK, KRISTEN ELIZABETHCHIEF RISK OFFICER, USA5570750
GLASSMAN, DORJE TSERINGCO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP6568226
O'CONNOR, SEAN WALTERCHIEF COMPLIANCE OFFICER, RBC WEALTH MANAGEMENT - U.S.6578918
PENN, JOHN CHRISTOPHERGENERAL COUNSEL5135403
RICATTI, JENNIFER LEEPRINCIPAL FINANCIAL OFFICER4404128
SCHREINER, CINDY LOUISEUS WEALTH MANAGEMENT PRINCIPAL OPERATIONS OFFICER1470050
SPERDUTO, VITO ANTONIODIRECTOR, CEO OF U.S. CAPITAL MARKETS & CHAIRMAN OF THE BOARD2524961
THORNE, BRETT LANEPRESIDENT, RBC CLEARING & CUSTODY2523268

Regulatory Assets Under Management

Total Number of Accounts

511,871

AUM (Assets Under Management)

$310,428,968,904

Disclosures

Regulatory Event

379

Civil Event

3

Arbitration

114

Bond

7

Accountant Surprise Examination Report

Filing DateForm ADV-E CoverForm ADV-E Report
10/28/2025Cover PageReport
08/27/2024Cover PageReport

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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) MASSEY CANCER CENTER; ADDRESS: 401 COLLEGE STREET RICHMOND, VA 23298; BUSINESS DESCRIPTION: NATIONAL CANCER RESEARCH INSTITUTE; NOT INVESTMENT RELATED; START DATE: 11/14/2011; CAPACITY: ADVISORY BOARD; DUTIES: WORK TO HELP THE ORGANIZATION GET DONATIONS, RAISE PUBLIC AWARENESS; HOURS DEVOTED PER WEEK: .20; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: .20
(2) SOCIETY OF THE CINCINNATI IN THE STATE OF VIRGINIA; ADDRESS: 16534 TINDER DRIVE, WOODFORD, VA 22580; NOT FOR PROFIT; BUSINESS DESCRIPTION: OLDEST PATRIOTIC ORGANIZATION IN AMERICAN COMPOSED OF DIRECT DESCENDANTS OF OFFICERS IN WASHINGTON'S; CAPACITY: SECRATARY; START DATE: 10/16/21; DUTIES: NORMAL SECRATARIAL DUTIES; HOURS DEVOTED PER MONTH: APPROX.1; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: <1.
(3) NAME OF ENTITY: The Society of the Cincinnati ADDRESS: 2119 Massachusetts Ave. NW Washington DC 20008 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Patriotic organization START DATE: 08.07.23 CAPACITY: Committee/Council Member (not associated with the Board of Directors) DUTIES: I will help to oversee and coordinate the activities of local committees of the Society and to identify ways to stimulate interest and create opportunities for involvement in the Society and its mission among members wo live outside the thirteen original states and France and to cultivate fraternal bonds between members across all of our constituent societies HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 1

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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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
Alabama
(5/1/2024)
RR
Arizona
(2/2/2024)
RR
Arkansas
(3/16/2015)
RR
California
(3/9/2002)
RR
Colorado
(3/13/2018)
RR
Connecticut
(11/20/2020)
RR
Delaware
(6/4/2020)
RR
District of Columbia
(12/15/2021)
RR
Florida
(3/9/2002)
RR
Georgia
(3/9/2002)
RR
Idaho
(11/17/2025)
RR
Illinois
(3/9/2002)
RR
Indiana
(2/18/2021)
RR
Iowa
(10/21/2024)
RR
Kansas
(1/13/2025)
RR
Louisiana
(2/17/2014)
RR
Maine
(1/25/2024)
RR
Maryland
(3/9/2002)
RR
Michigan
(3/9/2002)
RR
Minnesota
(11/12/2025)
RR
Mississippi
(11/16/2022)
RR
Montana
(5/7/2024)
RR
Nevada
(5/1/2024)
RR
New Jersey
(5/19/2015)
RR
New York
(3/9/2002)
RR
North Carolina
(3/9/2002)
RR
Ohio
(4/2/2024)
RR
Oklahoma
(11/20/2025)
RR
Oregon
(5/3/2024)
RR
Pennsylvania
(7/8/2005)
RR
South Carolina
(3/9/2002)
RR
South Dakota
(1/25/2024)
RR
Tennessee
(1/29/2024)
RR
Texas
(11/26/2008)
IAR
Texas
(3/30/2017)
RR
Utah
(8/29/2025)
RR
Virginia
(3/9/2002)
IAR
Virginia
(5/1/2002)
RR
Washington
(11/7/2025)
RR
West Virginia
(5/8/2024)
RR
Wisconsin
(5/2/2024)
RR
Wyoming
(5/7/2024)

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.Note:This rule does not apply to broker-dealer activity.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Oct 1992About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Jun 1985About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jul 1977About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Apr 1988About the Series 24 exam
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CRS (Client Relationship Summary) - RIA

Click below to view Henry Roberts Miller IV's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Henry Roberts Miller IV's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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