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RIA / WealthAdvisordual registered (broker-dealer)42 years in industry

MICHAEL RAY MILLER

Advisor at LPL FINANCIAL LLC

WEST CHESTER, OH

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Search this name across graphsid dfx:ria:51a7c051-ce3e-8062-858b-6d5e133f5bb7

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:30 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Mar 22, 2004 to Sep 14, 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: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 30, 1984earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Mar 30, 1984
First registration: Mar 22, 2004
Dual registered: yes, broker-dealer
Other names: MIKE MILLER
IAPD individual key: 1249188

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
LPL FINANCIAL LLC	Bd affiliated wealth	Feb 28, 2025	n/a	yes	WEST CHESTER, OH	Current employment
STIFEL, NICOLAUS & COMPANY, INCORPORATED	National bd RIA	Feb 1, 2017	Feb 27, 2025	no	BLUE ASH, OH\|Wyoming, OH\|Covington, KY	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Aug 22, 2011	Feb 6, 2017	no	Cincinnati, OH	Previous registration
MORGAN KEEGAN & COMPANY, LLC	Former SEC adviser	Mar 22, 2004	Aug 22, 2011	no	COVINGTON, KY\|COVINGTON, KY	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
STIFEL, NICOLAUS & COMPANY, INCORPORATED	LPL FINANCIAL LLC	Feb 27, 2025	Feb 28, 2025	1	Firm change	Ibd to ibd
AMERIPRISE FINANCIAL SERVICES, LLC	STIFEL, NICOLAUS & COMPANY, INCORPORATED	Feb 6, 2017	Feb 1, 2017	-5	Firm change	Ibd to ibd
MORGAN KEEGAN & COMPANY, LLC	AMERIPRISE FINANCIAL SERVICES, LLC	Aug 22, 2011	Aug 22, 2011	0	Firm change	Other

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Feb 28, 2025 to presentfactForm ADV
→ STIFEL, NICOLAUS & COMPANY, INCORPORATEDRegistered adviserregistration: previous registration
Feb 1, 2017 to Feb 27, 2025factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Aug 22, 2011 to Feb 6, 2017factForm ADV
→ MORGAN KEEGAN & COMPANY, LLCRegistered adviserregistration: previous registration
Mar 22, 2004 to Aug 22, 2011factForm ADV

Dated events

Occurred
Feb 27, 2025
Advisor changed firm
Michael Ray Miller left Stifel, Nicolaus & Company, Incorporated for Lpl Financial Llc (registered 2025-02-28)
Form ADVobserved 6 days ago