Robert B. Miller

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CRD#: 1293232

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 Bradford 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 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1. MILLER LAKE PROPERTY LLC; 34 S SUNNYSIDE AVE SOUTH BEND IN 46615; FAMILY VACATION HOME; AFFILIATION STARTED 08/01/2010; 3 HOURS PER MONTH; NOT DURING SECURITIES TRADING HOURS. 2. Corvilla, Inc.; 3620 Deahl Ct South Bend IN 46628; Non profit for support and management of residential facilities for developmentally disabled adults; Interim Treasurer; Board duties, Oversee strategic decision making; 1/22/2019; 1 hour per week; not during securities trading hours; not investment-related. 4. Robert B Miller Financial; 205 w Jefferson Blvd South bend IN 46601; Securities brokerage; President; Mange the firm and provide securities investment advice for private clients; 01/02/2008; 8.00 Hour(s) Per Day; during securities trading hours; Investment-Related. 5. Commercial rental property; 205 W Jefferson Blvd, South Bend, IN 46601; Business office space; Owner/Landlord; 01/02/2023; Not during securities trading hours; Investment-Related.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 15, 2008 - September 13, 2023

STIFEL INDEPENDENT ADVISORS, LLC

RIA

CRD#: 28218

SOUTH BEND, IN

Past

January 15, 2008 - September 13, 2023

STIFEL INDEPENDENT ADVISORS, LLC

CRD#: 28218

SOUTH BEND, IN

Past

December 17, 2002 - January 15, 2008

STIFEL, NICOLAUS & COMPANY, INCORPORATED

RIA

CRD#: 793

SOUTH BEND, IN

Past

December 17, 2002 - January 15, 2008

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

SOUTH BEND, IN

Past

January 2, 2002 - September 13, 2002

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, WI

Past

August 2, 1999 - December 20, 2002

ROBERT W. BAIRD & CO. INCORPORATED

RIA

CRD#: 8158

MISHAWAKA, IN

Past

August 20, 1991 - December 20, 2002

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

January 24, 1989 - September 17, 1991

RAFFENSPERGER, HUGHES & CO., INC.

CRD#: 699

INDIANAPOLIS, IN

Past

November 9, 1984 - January 23, 1989

CITY SECURITIES CORPORATION

CRD#: 1459

INDIANAPOLIS, IN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

STIFEL INDEPENDENT ADVISORS, LLC

CENTURY SECURITIES ASSOCIATES INC | STIFEL INDEPENDENT ADVISORS, LLC | CENTURY SECURITIES ASSOCIATES, INC.

CRD#: 28218 / SEC#: 801-43561, 8-43514

RIA

Registered Investment Advisory firm - SEC (3/19/1993 Approved)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/5/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/14/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/20/1984

General Securities Representative Examination

Current Firm

STIFEL INDEPENDENT ADVISORS, LLC

CENTURY SECURITIES ASSOCIATES INC | STIFEL INDEPENDENT ADVISORS, LLC | CENTURY SECURITIES ASSOCIATES, INC.

CRD#: 28218 / SEC#: 801-43561, 8-43514

RIA

Registered Investment Advisory firm - SEC (3/19/1993 Approved)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

One Financial Plaza 501 North Broadway, St Louis, MO 63102

Mailing Address

One Financial Plaza 501 North Broadway, St. Louis, MO 63102

Phone number

(314) 342-4051

Established

Missouri since 05/24/2021

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

206

SEC notice filing (49 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ADVISORY CONSULTING SERVICES (3/31/2025)

FINANCIAL PLANNING (3/31/2025)

WRAP FEE PROGRAM (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
STIFEL FINANCIAL CORP.	OWNER-HOLDING COMPANY OWNING 100%
KRUSZEWSKI, RONALD JAMES	CHAIRMAN, STIFEL FINANCIAL	1434827
BRAUTIGAM, ALLEN COR	PRESIDENT AND CEO	2400179
BRIGHT, GEOFFREY CLYDE JR	CHIEF COMPLIANCE OFFICER	4696103
DODSON, CHARLES EDWARD	CCO-ADVISORY SERVICES	1744430
FISHER, MARK PHILIP	GENERAL COUNSEL	4970942
MELINGER, ADAM SCOTT	ROSFP	2373020
NOLL, DOUGLAS WAYNE	PRINCIPAL OPERATIONS OFFICER	1614129
ROWAN, JAMES FRANCIS	PRINCIPAL FINANCIAL OFFICER	1976998
ZEMLYAK, JAMES MARK	MANAGER, BOARD OF MANAGERS	1586132

Regulatory assets under management

Total Number of Accounts	11,648
AUM (Assets Under Management)	$ 4,379,138,273

Disclosures

Regulatory Event	3
Arbitration	1

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/20/2024	Cover Page	Report
09/28/2023	Cover Page	Report
11/28/2022	Cover Page	Report

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.

Contact information

xxxxx@xxxx.xxx

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Robert B. Miller

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

STIFEL INDEPENDENT ADVISORS, LLC

STIFEL, NICOLAUS & COMPANY, INCORPORATED

STIFEL, NICOLAUS & COMPANY, INCORPORATED

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

ROBERT W. BAIRD & CO. INCORPORATED

ROBERT W. BAIRD & CO. INCORPORATED

RAFFENSPERGER, HUGHES & CO., INC.

CITY SECURITIES CORPORATION

Primary Firm SEC Registration

STIFEL INDEPENDENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/5/2006

Series 63

Date: 11/14/1984

SIE

Date: 10/1/2018

Series 7

Date: 10/20/1984

Current Firm

STIFEL INDEPENDENT ADVISORS, LLC

Contact information

SEC notice filing (49 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

STIFEL INDEPENDENT ADVISORS, LLC

TRUST BUT VERIFY

Contact information

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