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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)19 years in industry

Joshua Eric Miller

Advisor at CHARLES SCHWAB & CO., INC.

Westlake, TX | Raleigh, NC

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Search this name across graphsid dfx:ria:4d77f196-36c5-0d10-256e-847417582f74

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:59 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Aug 9, 2011 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CHARLES SCHWAB & CO., INC.
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 1, 2006earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S63|S66
First exam: May 2, 2007
First registration: Aug 9, 2011
Dual registered: yes, broker-dealer
Other names: Joshua E Miller|Josh Miller|Joshua Miller
IAPD individual key: 5309453

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CHARLES SCHWAB & CO., INC.	National bd RIA	Aug 25, 2022	n/a	yes	Raleigh, NC\|Westlake, TX	Current employment
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	May 23, 2021	Aug 3, 2022	no	Raleigh, NC\|LAS VEGAS, NV	Previous registration
EDWARD JONES	National bd RIA	Nov 23, 2020	Jan 20, 2021	no	Raleigh, NC\|ST LOUIS, MO	Previous registration
EDWARD JONES	National bd RIA	Mar 11, 2019	Jul 1, 2019	no	RALEIGH, NC\|ST LOUIS, MO	Previous registration
STRATEGIC ADVISERS LLC	National bd RIA	Aug 9, 2011	Mar 8, 2018	no	CARY, NC\|DURHAM, NC	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
AMERIPRISE FINANCIAL SERVICES, LLC	CHARLES SCHWAB & CO., INC.	Aug 3, 2022	Aug 25, 2022	22	Firm change	Ibd to ibd
EDWARD JONES	AMERIPRISE FINANCIAL SERVICES, LLC	Jan 20, 2021	May 23, 2021	123	Firm change	Ibd to ibd
STRATEGIC ADVISERS LLC	EDWARD JONES	Mar 8, 2018	Mar 11, 2019	368	Firm change	Ibd to ibd

Relationships

Registered with (4)

→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: current employment
Aug 25, 2022 to presentfactForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
May 23, 2021 to Aug 3, 2022factForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
Nov 23, 2020 to Jan 20, 2021factForm ADV
→ STRATEGIC ADVISERS LLCRegistered adviserregistration: previous registration
Aug 9, 2011 to Mar 8, 2018factForm ADV

Dated events

Occurred
Aug 3, 2022
Advisor changed firm
Joshua Eric Miller left Ameriprise Financial Services, Llc for Charles Schwab & Co., Inc. (registered 2022-08-25)
Form ADVobserved 6 days ago