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Richard Edward Miller

Stifel, Nicolaus & Company, Incorporated

Charlotte, NC

Baltimore, MD

CRD 1025083

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Employer firm

Stifel, Nicolaus & Company, Incorporated CRD 793

$198B regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

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

Current Employers
Stifel, Nicolaus & Company, Incorporated

501 N Broadway, St Louis, MO 63102 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2020-01-02
NC RA APPROVED 2007-12-10
  • TX RA
    APPROVED_RES
    Since 2020-01-02
  • NC RA
    APPROVED
    Since 2007-12-10

Branch Locations

6100 Fairview Road Suite 350 & Suite 700, Charlotte, NC 28210 • United States

1201 Wills Street Suite 600, Baltimore, MD 21231 • 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
Stifel, Nicolaus & Company, Incorporated Charlotte NC 12/2007 Present
Previous Registrations
  • 2005-08-22 → 2007-12-10
    A. G. Edwards & Sons, Inc.
    Charlotte, NC
    Charolotte, NC
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-08-19
S63 Uniform Securities Agent State Law Examination 1982-01-08
  • S66 Uniform Combined State Law Examination
    2005-08-19
  • S63 Uniform Securities Agent State Law Examination
    1982-01-08

View on SEC IAPD

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