Raymond Joseph Miller

Investment Adviser Representative at SUNBELT SECURITIES

HOUSTON, TXCRD #856248Dual-registered

Disclosure(s) on record — see official records below

Sourced from SEC IAPD & FINRA BrokerCheck

Years of Experience

48 yrs

States Registered

15 states

Exams Passed

Registrations & licenses

Registration type

Dual-registered

Registered in 15 states

AlaskaColoradoHawaiiIllinoisIowaMassachusettsMontanaNew YorkNorth CarolinaNorth DakotaRhode IslandSouth DakotaTexasVirgin IslandsWashington

Examinations passed

Series 65

Uniform Investment Adviser Law Examination

Passed 12/9/1993

Series 63

Uniform Securities Agent State Law Examination

Passed 8/14/1987

Series 9

General Securities Sales Supervisor - Options Module Examination

Passed 1/2/2023

Series 10

General Securities Sales Supervisor - General Module Examination

Passed 1/2/2023

Series 24

General Securities Principal Examination

Passed 7/18/1995

Series 8

General Securities Sales Supervisor Examination (Options Module & General Module)

Passed 2/5/1987

Series 99TO

Operations Professional Examination

Passed 1/2/2023

Series 79TO

Investment Banking Registered Representative Examination

Passed 1/2/2023

SIE

Securities Industry Essentials Examination

Passed 10/1/2018

Series 3

National Commodity Futures Examination

Passed 4/19/1988

Series 5

Interest Rate Options Examination

Passed 12/12/1981

Series 7

General Securities Representative Examination

Passed 8/19/1978

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model

Assets Under Management (AUM)

Source

SUNBELT SECURITIES Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

SUNBELT SECURITIES, INC.Current

1/27/2009 – HOUSTON, TX

CITICORP INVESTMENT SERVICES

9/7/2006 – 5/29/2007AUSTIN, TX

PIPER, JAFFRAY & HOPWOOD INCORPORATED

8/25/1978 – 3/16/1979

CITIGROUP GLOBAL MARKETS INC.

7/31/1993 – 9/7/2006AUSTIN, TX

CITIGROUP GLOBAL MARKETS INC.

5/29/2007 – 10/29/2007AUSTIN, TX

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

3/19/1979 – 1/31/1980

BATEMAN EICHLER, HILL RICHARDS, INCORPORATED

2/24/1987 – 9/14/1988

LEHMAN BROTHERS INC.

10/8/1988 – 7/31/1993NEW YORK, NY

USF SECURITIES, L.P.

10/16/2007 – 12/31/2008HOUSTON, TX

PAINEWEBBER INCORPORATED

1/31/1980 – 7/31/1984

Official records & sources

FINRA BrokerCheck record

Official broker registration & regulatory record

SEC IAPD record

SEC investment adviser registration record

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Raymond Joseph Miller has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.