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Rodney Miller

Stifel, Nicolaus & Company, Incorporated
37 Years of Experience
Lawrence, KS
1 DisclosureBroker
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Rodney Miller is a PFS-designated registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Lawrence, KS, with 37 years of industry experience. Rodney is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Estate Planning, High Net Worth, Investment Management, and 2 more. Their firm serves 236,191 clients with $200B in assets under management.

Stifel, Nicolaus & Company, Incorporated
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
3355 advisors
Number of Clients
236,191 clients
Average Client Portfolio
$836K average
Assets Under Management
$197.5B

Fee Structure

Minimum Investment:$50K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any1.00%

Maximum annual fee rate for the Summit Program is up to 1.00% of assets under management. Other programs have separate fee schedules detailed in respective program brochures. Fees are generally negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

4910 Corporate Centre Drive, Suite 104, Lawrence, KS, 66047

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
February 2009
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Rodney is a board member for the Topeka Metropolitan Transit Authority since 2010, dedicating minimal time. He is also a board member for the Home Builders Association of Topeka since 2024, spending a few hours per week.

Employment History
Current Registrations
Stifel, Nicolaus & Company, IncorporatedBroker
September 2009 - Present · 17 yrs 1 mo
Stifel, Nicolaus & Company, Incorporated
September 2009 - Present · 17 yrs 1 mo
Previous Registrations
UBS Financial Services INC.Broker
August 2006 - September 2009 · 3 yrs 1 mo
UBS Financial Services INC.
August 2006 - September 2009 · 3 yrs 1 mo
Piper Jaffray & CO.Broker
February 2006 - August 2006 · 6 mos
Piper Jaffray & CO.
February 2006 - August 2006 · 6 mos
Raymond James Financial Services
December 2003 - February 2006 · 2 yrs 2 mos
Raymond James Financial Services, INC.Broker
December 2003 - February 2006 · 2 yrs 2 mos
Wachovia Securities, LLC
March 2000 - December 2003 · 3 yrs 9 mos
Wachovia Securities, LLCBroker
September 1990 - December 2003 · 13 yrs 3 mos
Blunt Ellis & Loewi IncorporatedBroker
September 1989 - September 1990 · 1 yr
Firm One Securities, IncorporatedBroker
November 1988 - September 1989 · 10 mos
State Registrations23 states
AKAZCACOFLIAINKSMDMOMTNENMNVNYOHOKPATXVAWAWIWV
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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