Robert J. Miller
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Robert John Miller, CFP®, who also goes by Bob Miller, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1984. Robert had worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 4, 2016 - December 19, 2022
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
October 4, 2016 - December 19, 2022
CAMBRIDGE INVESTMENT RESEARCH, INC.
February 15, 2012 - October 14, 2016
PRINCIPAL SECURITIES, INC.
February 13, 2012 - October 14, 2016
PRINCIPAL SECURITIES, INC.
March 22, 2011 - February 3, 2012
SIGNATOR INVESTORS, INC.
February 7, 2011 - February 3, 2012
SIGNATOR INVESTORS, INC.
March 2, 2010 - February 17, 2011
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
March 2, 2010 - February 17, 2011
CAMBRIDGE INVESTMENT RESEARCH, INC.
December 5, 2008 - March 5, 2010
WOODBURY FINANCIAL SERVICES, INC.
December 5, 2008 - March 5, 2010
WOODBURY FINANCIAL SERVICES, INC.
July 8, 1997 - December 15, 2008
FSC SECURITIES CORPORATION
May 31, 1991 - December 15, 2008
FSC SECURITIES CORPORATION
June 19, 1986 - June 3, 1991
INVESTMENT ARCHITECTS, INC.
February 5, 1986 - July 8, 1986
AMERICAN INVESTORS COMPANY
January 25, 1984 - February 25, 1985
NEW ENGLAND SECURITIES
Primary Firm SEC Registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
