RM
Raymond J. Miller
SUNBELT SECURITIES
Houston, TX 77056
Some features on this profile are disabled
CRD#: 856248
RM
Professional summary
Raymond Joseph Miller, CFP®, who also goes by Ray Miller, is a registered financial advisor currently at SUNBELT SECURITIES, INC. located in Houston, Texas.
Raymond is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1978. Raymond has worked at 12 firms and has passed the Series 65, Series 63, Series 99TO, Series 79TO, SIE, Series 3, Series 5, Series 7, Series 9, Series 10, Series 24 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ray 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) KATY2.5 LLC (OBA): NOT INVESTMENT RELATED. 2700 Post Oak Blvd, Ste 1700, HOUSTON, TX 77056. INVESTMENT IN LAND. NO POSITION. NO RELATIONSHIP. START: 09/2014. ZERO HOURS PER WEEK, NONE DURING TRADING. 2) FERMI RSB 21 LLC (OBA): 1950 Hughes Landing Blvd #805, Spring TX 77380. Technology Investment. Member. No relationship. Start: 12/2021. Zero hours per week, none during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Raymond Joseph Miller's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Raymond Joseph 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®
Experience
Current
January 27, 2009 - Present
SUNBELT SECURITIES, INC.
Office #1: 2700 Post Oak Blvd Ste 1700, Houston, TX 77056Office #2: 2700 Post Oak Blvd Ste 1700, Houston, TX 77056Office #3: 2700 Post Oak Blvd Ste 1700, Houston, TX 77056RIA
BD
CRD#: 42180
Houston, TX
Current
January 27, 2009 - Present
SUNBELT SECURITIES, INC.
Office #1: 2700 Post Oak Blvd Ste 1700, Houston, TX 77056Office #2: 2700 Post Oak Blvd Ste 1700, Houston, TX 77056Office #3: 2700 Post Oak Blvd Ste 1700, Houston, TX 77056RIA
BD
CRD#: 42180
Houston, TX
Past
October 16, 2007 - December 31, 2008
USF SERVICES, LLC
RIA
CRD#: 114894
HOUSTON, TX
Past
October 16, 2007 - December 31, 2008
USF ALTERNATIVE SERVICES, LLC
RIA
CRD#: 135613
HOUSTON, TX
Past
October 16, 2007 - December 31, 2008
USF ADVISORS, LLC
RIA
CRD#: 130569
HOUSTON, TX
Past
October 16, 2007 - December 31, 2008
USF SECURITIES, L.P.
BD
CRD#: 37942
HOUSTON, TX
Past
May 29, 2007 - October 29, 2007
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
AUSTIN, TX
Past
May 29, 2007 - October 29, 2007
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
AUSTIN, TX
Past
September 7, 2006 - May 29, 2007
CITICORP INVESTMENT SERVICES
RIA
CRD#: 23988
AUSTIN, TX
Past
September 7, 2006 - May 29, 2007
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
AUSTIN, TX
Past
August 18, 1995 - September 7, 2006
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
AUSTIN, TX
Past
July 31, 1993 - September 7, 2006
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
AUSTIN, TX
Past
October 8, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
February 24, 1987 - September 14, 1988
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
BD
CRD#: 76
Past
January 31, 1980 - July 31, 1984
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
Past
March 19, 1979 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
BD
CRD#: 640
Past
August 25, 1978 - March 16, 1979
PIPER SANDLER & CO.
BD
CRD#: 665
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".
SS
SUNBELT SECURITIES, INC.
SUNBELT ADVISORY SERVICES, INC. | SUNBELT SECURITIES, INC. | SUNBELT SECURITIES
CRD#: 42180 / SEC#: 801-71479, 8-49748
RIA
Registered Investment Advisory firm - SEC (6/24/2010 Approved)Kentucky
Registered Investment Advisory firm - SEC (7/16/2010 Terminated)Texas
Registered Investment Advisory firm - SEC (7/16/2010 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Dallas 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
Alaska(6/7/2017)
IAR
Alaska(6/24/2025)
RR
Colorado(11/17/2016)
IAR
Colorado(11/17/2016)
RR
Hawaii(11/9/2012)
RR
Illinois(7/21/2014)
RR
Iowa(7/21/2009)
RR
Massachusetts(4/3/2013)
RR
Montana(12/9/2016)
IAR
Montana(5/10/2024)
RR
New York(7/12/2018)
RR
North Carolina(5/8/2015)
RR
North Dakota(12/9/2016)
RR
Rhode Island(12/9/2016)
RR
South Dakota(1/10/2019)
RR
Texas(1/27/2009)
IAR
Texas(1/27/2009)
RR
Virgin Islands(4/25/2023)
RR
Washington(10/28/2013)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 12/12/1981
Interest Rate Options ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 2/5/1987
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
Current Firm
SS
SUNBELT SECURITIES, INC.
SUNBELT ADVISORY SERVICES, INC. | SUNBELT SECURITIES, INC. | SUNBELT SECURITIES
CRD#: 42180 / SEC#: 801-71479, 8-49748
RIA
Registered Investment Advisory firm - SEC (6/24/2010 Approved)Kentucky
Registered Investment Advisory firm - SEC (7/16/2010 Terminated)Texas
Registered Investment Advisory firm - SEC (7/16/2010 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information
Main Address
2700 Post Oak Blvd Ste 1700, Houston, TX 77056
Mailing Address
2700 Post Oak Blvd Ste 1700, Houston, TX 77056
Phone number
(713) 965-9510
Established
Texas since 10/20/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
68
SEC notice filing (39 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BUCKLEY, THOMAS FRANCIS | FINANCIAL OPERATIONS PRINCIPAL | 1563361 |
| MILLER, RAYMOND JOSEPH | OFFICE MANAGER/COMPLIANCE | 856248 |
| SMETEK, DAVID ANTHONY | PRESIDENT / SECRETARY | 1246996 |
| SMETEK, PATRICK JOSEPH | REGISTERED OPTIONS PRINICPAL | 1052695 |
| SMETEK, PATRICK JOSEPH | CHIEF COMPLIANCE OFFICER | 1052695 |
| YOUNG, DAGNY WRIGHT | MUNICIPAL SECURITIES PRINCIPAL | 2050615 |
Regulatory assets under management
| Total Number of Accounts | 5,355 |
| AUM (Assets Under Management) | $ 2,024,286,577 |
Disclosures
| Regulatory Event | 2 |
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.
