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Joshua Eric Miller

Charles Schwab & Co., Inc.

Raleigh, NC

Westlake, TX

CRD 5309453

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Employer firm

Charles Schwab & Co., Inc. CRD 5393

955,800 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Selection of other advisers
  • WRAP FEE PROGRAM SPONSOR AND FINANCIAL PLANNING ADVISOR REFERRAL PROGRAM

From the firm’s Form ADV. Read the guides:

Current Employers
Charles Schwab & Co., Inc.

425 Market Street 17Th Floor, San Francisco, CA 94105 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2022-08-25
  • NC RA
    APPROVED
    Since 2022-08-25

Branch Locations

Raleigh, NC • United States

3000 Schwab Way, Westlake, TX 76262 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Fidelity Investments Durham NC 11/2006 03/2018
Edward Jones Raleigh NC 04/2018 01/2021
Strategic Advisors Inc Durham NC 07/2011 03/2018
Ameriprise Financial Services, Llc Raleigh NC 05/2021 07/2022
Unemployed Raleigh NC 02/2021 04/2021
Charles Schwab & Co., Inc. Raleigh NC 08/2022 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-08-06
S63 Uniform Securities Agent State Law Examination 2007-05-02
  • S66 Uniform Combined State Law Examination
    2011-08-06
  • S63 Uniform Securities Agent State Law Examination
    2007-05-02
Designations
  • Certified Financial Planner
Other Names
  • Joshua E Miller
  • Josh Miller
  • Joshua Miller

View on SEC IAPD

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