Richard C. Miller
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.
Richard Cornelius Miller, who also goes by Richard C Miller Jr, Richard Cornelius Miller Jr, Richard Miller, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1978. Richard had worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 29, 2014 - December 4, 2017
FORESIDE FUND SERVICES, LLC
February 22, 2013 - September 4, 2014
AST INVESTOR SERVICES LLC
April 4, 2008 - January 5, 2012
VOYA INVESTMENT MANAGEMENT CO. LLC
September 20, 2005 - January 5, 2012
VOYA INVESTMENTS DISTRIBUTOR, LLC
April 21, 2005 - October 14, 2005
UBS FINANCIAL SERVICES INC.
June 24, 1998 - May 27, 2003
BLACKROCK INVESTMENTS, LLC
February 23, 1994 - April 17, 1998
UBS FINANCIAL SERVICES INC.
January 27, 1978 - February 9, 1994
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
FORESIDE FUND SERVICES, LLC
CRD#: 46106 / SEC#: , 8-51293
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
| STROUT, ALICIA KIMBERLY | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | 6320351 |
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.
