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RM
CFP · ChFC
RM
CFP · ChFC

Richard Miller

Ameriprise Financial Services, LLC
32 Years of Experience
Shelton, CT
3 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Richard Miller is a CFP, ChFC-designated registered investment advisor at Ameriprise Financial Services, LLC, based in Shelton, CT, with 32 years of industry experience. Richard is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Charitable Giving, Corporate Executives, Education Planning, and 6 more. Their firm serves 1,386,329 clients with $660B in assets under management.

Ameriprise Financial Services, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
12955 advisors
Number of Clients
1,386,329 clients
Average Client Portfolio
$476K average
Assets Under Management
$660.5B

Fee Structure

Minimum Investment:$2K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.00%

The maximum total annual advisory fee is 2.0% of managed account assets. Fees are negotiable with your financial advisor and vary based on the specific program and services selected.

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

Location

2 Corporate Dr, Ste 743, Shelton, CT, 06484

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History

Regulatory History (3)
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 2024
Settled
Customer Dispute
December 2002
Denied
Customer Dispute
August 2001
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Richard owns multiple real estate properties and is an independent insurance broker for long-term care policies. He also owns a consulting business and Array Services, LLC, and performs tax preparation services, dedicating about a quarter of his time to the consulting business and a few hours per week to tax preparation and Array Services.

Employment History
Current Registrations
Ameriprise Financial Services, LLC
October 2006 - Present · 20 yrs
Ameriprise Financial Services, LLC
September 1994 - Present · 32 yrs 1 mo
Ameriprise Financial Services, LLCBroker
September 1994 - Present · 32 yrs 1 mo
Previous Registrations
Ids Life Insurance CompanyBroker
September 1994 - July 2006 · 11 yrs 10 mos
State Registrations45 states
ALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMTNCNHNJNMNVNYOHORPAPRRISCTNTXUTVAVTWAWIWY
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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