Earl R. Miller

ROFFMAN MILLER ASSOCIATES

Philadelphia, PA 19103

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CRD#: 5938949

Professional summary

Earl R. Miller, who also goes by Earl Miller, is a registered financial advisor currently at ROFFMAN MILLER ASSOCIATES INC located in Philadelphia, Pennsylvania.

Earl is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Earl has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Earl 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 Earl R. 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 14, 2018 - Present

ROFFMAN MILLER ASSOCIATES INC

Office #1: 1835 Market Street Suite 500, Philadelphia, PA 19103

RIA

CRD#: 106019

Philadelphia, PA

Past

March 28, 2016 - September 21, 2018

3ICO SECURITIES LLC

CRD#: 173648

Wynnewood, PA

Past

November 14, 2014 - September 21, 2018

MAINLINE PRIVATE WEALTH, LLC

RIA

CRD#: 159295

WYNNEWOOD, PA

Past

July 2, 2013 - October 22, 2014

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

MOORESTOWN, NJ

Past

June 27, 2013 - October 22, 2014

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

MOORESTOWN, NJ

Past

October 21, 2011 - June 6, 2013

ALLIANCEBERNSTEIN L.P.

RIA

CRD#: 108477

PHILADELPHIA, PA

Past

September 30, 2011 - June 6, 2013

SANFORD C. BERNSTEIN & CO., LLC

CRD#: 104474

PHILADELPHIA, PA

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".

ROFFMAN MILLER ASSOCIATES INC

ROFFMAN MILLER ASSOCIATES INC | ROFFMAN MILLLER ASSOCIATES INC

CRD#: 106019 / SEC#: 801-38491

RIA

Registered Investment Advisory firm - (3/22/1991 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

New Jersey
(10/19/2020)

IAR

Pennsylvania
(11/14/2018)

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 66

Date: 10/20/2011

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 9/21/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/29/2011

General Securities Representative Examination

Current Firm

ROFFMAN MILLER ASSOCIATES INC

ROFFMAN MILLER ASSOCIATES INC | ROFFMAN MILLLER ASSOCIATES INC

CRD#: 106019 / SEC#: 801-38491

RIA

Registered Investment Advisory firm - (3/22/1991 Approved)

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Contact information

Main Address

1835 Market Street Suite 500, Philadelphia, PA 19103

Mailing Address

Phone number

(215) 981-1030

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (19 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ROFFMAN MILLER ASSOCIATES, INC. PART 2 (5/12/2025)

Regulatory assets under management

Total Number of Accounts	1,563
AUM (Assets Under Management)	$ 2,895,159,684

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

Earl R. Miller

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Earl R. Miller's CRS (Customer Relationship Summary).

Certified licenses

Experience

3ICO SECURITIES LLC

MAINLINE PRIVATE WEALTH, LLC

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

ALLIANCEBERNSTEIN L.P.

SANFORD C. BERNSTEIN & CO., LLC

Primary Firm SEC Registration

ROFFMAN MILLER ASSOCIATES INC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/20/2011

SIE

Date: 9/21/2018

Series 7

Date: 9/29/2011

Current Firm

ROFFMAN MILLER ASSOCIATES INC

Contact information

SEC notice filing (19 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ROFFMAN MILLER ASSOCIATES INC

TRUST BUT VERIFY

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