Stephen M. Miller

DEAN INVESTMENTS

BEAVERCREEK, OH 45431

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CRD#: 2686150

Professional summary

Stephen Michael Miller, who also goes by Stephen Miller, is a registered financial advisor currently at DEAN INVESTMENTS located in Beavercreek, Ohio and DEAN FINANCIAL SERVICES located in Beavercreek, Ohio.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Stephen has worked at 3 firms and has passed the Series 63, Series 65, Series 6, Series 28 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Stephen Miller

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Michael Miller's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

November 17, 1999 - Present

DEAN INVESTMENTS

Office #1: 3500 Pentagon Blvd, Suite 200, Beavercreek, OH 45431

RIA

CRD#: 104635

BEAVERCREEK, OH

Current

March 30, 2007 - Present

DEAN FINANCIAL SERVICES

Office #1: 3500 Pentagon Boulevard, Suite 200, Beavercreek, OH 45431

RIA

CRD#: 129679

Beavercreek, OH

Past

April 16, 1997 - October 29, 2007

2480 SECURITIES LLC

CRD#: 41964

DAYTON, OH

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".

DEAN INVESTMENTS

DEAN C H & ASSOCIATES, INC. | DEAN INVESTMENTS | DEAN INVESTMENT ASSOCIATES, LLC | DEAN INVESTMENT ASSOCIATES

CRD#: 104635 / SEC#: 801-9895

RIA

Registered Investment Advisory firm - (1/1/1975 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Ohio
(11/17/1999)

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

Series 63

Date: 5/5/1997

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 11/14/1995

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 6

Date: 2/19/1997

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 28

Date: 3/19/1997

Introducing Broker/Dealer Financial Operations Principal Examination

Principal/Supervisory Exam

Series 26

Date: 2/25/1997

Investment Company Products/Variable Contracts Principal Examination

Current Firm

DEAN INVESTMENTS

DEAN C H & ASSOCIATES, INC. | DEAN INVESTMENTS | DEAN INVESTMENT ASSOCIATES, LLC | DEAN INVESTMENT ASSOCIATES

CRD#: 104635 / SEC#: 801-9895

RIA

Registered Investment Advisory firm - (1/1/1975 Approved)

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Contact information

Main Address

3500 Pentagon Boulevard, Suite 200, Beavercreek, OH 45431

Mailing Address

Phone number

(937) 222-9531

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DEAN INVESTMENT ASSOCIATES, LLC (3/26/2025)

Regulatory assets under management

Total Number of Accounts	494
AUM (Assets Under Management)	$ 895,627,639

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/25/2025	Cover Page	Report
10/23/2024	Cover Page	Report
08/23/2023	Cover Page	Report
02/22/2023	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.

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Advisor Monitoring

Firm Stability Insights

Stephen M. Miller

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Michael Miller's CRS (Customer Relationship Summary).

Certified licenses

Experience

DEAN FINANCIAL SERVICES

2480 SECURITIES LLC

Primary Firm SEC Registration

DEAN INVESTMENTS

State Registrations and Notice Filings

Exams

Series 63

Date: 5/5/1997

Series 65

Date: 11/14/1995

Series 6

Date: 2/19/1997

Series 28

Date: 3/19/1997

Series 26

Date: 2/25/1997

Current Firm

DEAN INVESTMENTS

Contact information

SEC notice filing (16 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

DEAN INVESTMENTS

TRUST BUT VERIFY

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