Roger L. Miller

SUMMIT FINANCIAL ADVISORS

Lebanon, OH 45036

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CRD#: 852164

Professional summary

Roger Lowell Miller, CFP® is a registered financial advisor currently at SUMMIT FINANCIAL ADVISORS, INC. located in Lebanon, Ohio.

Roger is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1978. Roger has worked at 9 firms and has passed the Series 63, Series 7 and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

FINANCIAL SECURITY SOLUTIONS, LLC; INSURANCE AGENCY; MIDDLETOWN, OH; PRIMARILY LONG TERM CARE INSURANCE; CO-OWNER; 04/2003; APPR. 1 HOUR PER WEEK.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger Lowell 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®

CFP^®

Certified Financial Planner

Start date: 1984

Experience

Current

September 13, 2007 - Present

SUMMIT FINANCIAL ADVISORS, INC.

Office #1: 41 N Broadway St, Lebanon, OH 45036

RIA

CRD#: 145007

Lebanon, OH

Past

January 21, 2003 - December 31, 2007

IPFP, INC.

RIA

CRD#: 120314

MIDDLETOWN, OH

Past

May 5, 1987 - May 14, 1999

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Past

September 26, 1984 - January 14, 1991

GUARDIAN SECURITIES, INCORPORATED

CRD#: 2094

ENGLEWOOD, OH

Past

September 30, 1983 - September 17, 1984

W&S BROKERAGE SERVICES, INC.

CRD#: 8099

Past

July 19, 1982 - December 19, 1983

LPL FINANCIAL LLC

CRD#: 6413

Past

February 16, 1982 - January 3, 1989

LINCOLN NATIONAL PENSION INSURANCE COMPANY

CRD#: 10293

Past

February 16, 1982 - May 14, 1999

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

May 7, 1981 - January 15, 1982

FIRST CLEVELAND INVESTMENTS, INC.

CRD#: 3928

Past

May 11, 1978 - June 11, 1981

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, 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".

SUMMIT FINANCIAL ADVISORS, INC.

CRD#: 145007 / SEC#: 801-96206

RIA

Registered Investment Advisory firm - (5/6/2015 Approved)

California

Registered Investment Advisory firm - (6/7/2015 Terminated)

Ohio

Registered Investment Advisory firm - (5/8/2015 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

California
(10/19/2007)

IAR

Ohio
(9/13/2007)

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: 7/30/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/15/1983

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 5/5/1978

Registered Representative Examination

Current Firm

SUMMIT FINANCIAL ADVISORS, INC.

CRD#: 145007 / SEC#: 801-96206

RIA

Registered Investment Advisory firm - (5/6/2015 Approved)

California

Registered Investment Advisory firm - (6/7/2015 Terminated)

Ohio

Registered Investment Advisory firm - (5/8/2015 Terminated)

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Contact information

Main Address

300 N. Main Street Suite 500, Middletown, OH 45042

Mailing Address

Phone number

(513) 424-6300

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SUMMIT ADV PART 2A (6/17/2025)

Regulatory assets under management

Total Number of Accounts	426
AUM (Assets Under Management)	$ 199,387,942

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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Firm Stability Insights

Roger L. Miller

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger Lowell Miller's CRS (Customer Relationship Summary).

Certified licenses

Experience

IPFP, INC.

OSAIC FA, INC.

GUARDIAN SECURITIES, INCORPORATED

W&S BROKERAGE SERVICES, INC.

LPL FINANCIAL LLC

LINCOLN NATIONAL PENSION INSURANCE COMPANY

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

FIRST CLEVELAND INVESTMENTS, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

Primary Firm SEC Registration

SUMMIT FINANCIAL ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/30/1984

Series 7

Date: 10/15/1983

Series 1

Date: 5/5/1978

Current Firm

SUMMIT FINANCIAL ADVISORS, INC.

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SUMMIT FINANCIAL ADVISORS, INC.

TRUST BUT VERIFY

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