Richard Carl Miller

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
NH	RA	APPROVED	2000-05-16

NH RA
APPROVED

Since 2000-05-16

Branch Locations

118 Maplewood Ave Unit B-1, Portsmouth, NH 03801 • 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

Organization	City	State	From	To
Harvest Financial Advisers	Portsmouth	NH	01/2000	08/2019
Lpl Financial, Llc (Formerly: Linsco Private Ledger)	Portsmouth	NH	04/2000	Present

01/2000 → 08/2019

Harvest Financial Advisers

Portsmouth, NH
04/2000 → Present

Lpl Financial, Llc (Formerly: Linsco Private Ledger)

Portsmouth, NH

Other Businesses

1. 4/8/2003 - NON-VARIABLE INSURANCE - SELLING FIXED ANNUITIES, TERM LIFE AND LONG TERM CARE INSURANCE. - PORTSMOUTH, NH 2. 1/12/2006 - REAL ESTATE RENTAL - MILLPOND CAPITAL MGT, INC. - 2 COMMERCIAL PROPERTY RENTALS, AND RESIDENTIAL RENTAL UNITS, NO CLIENTS INVOLVED. - TIME SPENT 2%.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1996-03-07
S63	Uniform Securities Agent State Law Examination	1996-02-21

S65 Uniform Investment Adviser Law Examination

1996-03-07
S63 Uniform Securities Agent State Law Examination

1996-02-21

Other Names

Ric Miller

View on SEC IAPD