Robert D. Miller
Professional summary
Robert Douglas Miller JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Robert is a previously registered financial advisor and started their career in finance in 2004. Prior to being barred, Robert had worked at 7 firms, which includes PNC WEALTH MANAGEMENT LLC, NATCITY INVESTMENTS INC., EDWARD JONES, WELLS FARGO CLEARING SERVICES LLC, CITIGROUP GLOBAL MARKETS INC., MORGAN STANLEY DW INC., LPL FINANCIAL LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 13, 2009 - February 10, 2010
PNC WEALTH MANAGEMENT LLC
November 13, 2009 - February 10, 2010
PNC WEALTH MANAGEMENT LLC
October 15, 2009 - November 13, 2009
NATCITY INVESTMENTS, INC.
September 30, 2009 - November 13, 2009
NATCITY INVESTMENTS, INC.
March 5, 2008 - August 8, 2008
EDWARD JONES
March 5, 2008 - August 8, 2008
EDWARD JONES
March 23, 2007 - February 19, 2008
WELLS FARGO CLEARING SERVICES, LLC
March 23, 2007 - February 19, 2008
WELLS FARGO CLEARING SERVICES, LLC
May 5, 2006 - April 2, 2007
CITIGROUP GLOBAL MARKETS INC.
May 5, 2006 - April 2, 2007
CITIGROUP GLOBAL MARKETS INC.
March 10, 2004 - May 9, 2006
MORGAN STANLEY DW INC.
March 10, 2004 - May 9, 2006
MORGAN STANLEY DW INC.
March 9, 2004 - March 11, 2004
LPL FINANCIAL LLC
February 4, 2004 - March 11, 2004
LPL FINANCIAL LLC
Primary Firm SEC Registration
PNC WEALTH MANAGEMENT LLC
CRD#: 129052 / SEC#: 801-66195, 8-66195
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
PNC WEALTH MANAGEMENT LLC
CRD#: 129052 / SEC#: 801-66195, 8-66195
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PNC BANK, NATIONAL ASSOCIATION | PARENT | |
| BARNHART, TODD MARTIN | BOARD OF MANAGERS | 6166298 |
| FLYNN, SEAN | CHIEF COMPLIANCE OFFICER & BOARD OF MANAGERS | 2790159 |
| GUERRINI, RICHARD ROBERT | PRESIDENT, CEO, BOARD OF MANAGERS | 1990015 |
| HOLODINSKI, JOHN PAUL | BOARD OF MANAGERS | 2494707 |
| MITCHELL, JESSICA | BOARD OF MANAGERS | 6624246 |
| RAMOS, REGIS RESENDE | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, FINOP | 5205169 |
| RICHARDSON, MARGARET MARY | CHIEF OPERATING OFFICER/BOARD OF MANAGERS | 6002933 |
| RODGERS, STEPHANIE ELIZABETH | BOARD OF MANAGERS & SECRETARY | 6004741 |
| SANTILLO, ROBERT WILSON | BOARD OF MANAGERS | 5379581 |
| SCHAFER, DAVID JOSEPH | CHIEF OPERATIONS OFFICER, PRINCIPAL OPERATIONS OFFICER | 1368781 |
| THOMPSON, LEIGH CHASE | CHIEF LEGAL OFFICER | 6534162 |
| WEIDNER, KIMBERLY LYNN | CHIEF RISK OFFICER & BOARD OF MANAGERS | 4080314 |
Regulatory assets under management
| Total Number of Accounts | 157,533 |
| AUM (Assets Under Management) | $ 26,533,775,810 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 6 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2024 | ||
| 09/20/2023 |
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.
