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Richard John Miktus

Merrill Lynch, Pierce, Fenner & Smith Inc.

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About Richard John Miktus

Richard John Miktus has been in the financial services industry since February 17, 2010. Richard currently works at Merrill Lynch, Pierce, Fenner & Smith Inc. Prior to working at Merrill Lynch, Richard worked at HSBC Securities (USA) INC. Richard has Series 7, Series 63, and Series 66 licenses, and the SIE exam. Richard specializes in several areas, including Portfolio Management for Businesses, Portfolio Management for Individuals, and Selection of Other Advisers. Richard John Miktus currently holds FINRA registrations and is a registered investment advisor representative in multiple states.

Firm Information

Richard Miktus is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc.. Merrill Lynch, Pierce, Fenner & Smith Inc., established in 1958, is a corporation headquartered in NEW YORK, NY. They offer a wide range of financial services, including portfolio management for individuals and businesses, pension consulting, and educational seminars. They are registered with the SEC and in all 50 states, with over 26,000 investment advisor representatives and registered representatives. Their services target high-net-worth individuals, corporations, pension and profit sharing plans, charitable organizations, and insurance companies. They manage assets exceeding $1 trillion, demonstrating their extensive experience in the financial industry.
Merrill Lynch, Pierce, Fenner & Smith Inc.

ONE BRYANT PARK

NEW YORK, NY 10036

$1.27T

Assets Under Management

16,965

Total Clients

25,158

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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performance measurement reports, allocation modeling, ips, research reports and services, see schedule d

Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Richard Miktus’s Registration & Firm History

NJ

01/07/2021 - Present

Merrill Lynch, Pierce, Fenner & Smith Inc. (JERSEY CITY NJ)

NJ

01/13/2017 - 01/25/2021

HSBC SECURITIES (USA) INC. (CHATHAM NJ)

NY

07/25/2013 - 10/04/2016

TD AMERITRADE, INC. (NEW YORK NY)

NJ

11/09/2010 - 06/20/2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PENNINGTON NJ)

NY

06/11/2009 - 07/13/2010

LAIDLAW & COMPANY (UK) LTD. (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 12/03/2010

Series 66 - Uniform Combined State Law Examination

BC

Issued 06/19/2009

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/10/2009

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Richard John Miktus.
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