Robert W. Miller
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 Woods Miller III, who also goes by Buck Miller III, Robert Woods Miller, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1978. Robert had worked at 6 firms and has passed the Series 65, Series 6TO, SIE, Series 1 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 26, 2019 - December 31, 2022
VOYA FINANCIAL ADVISORS, INC.
March 14, 2019 - December 31, 2022
VOYA FINANCIAL ADVISORS, INC.
January 16, 2013 - December 31, 2017
VOYA FINANCIAL ADVISORS, INC.
September 6, 2011 - December 31, 2012
SECURITIES MANAGEMENT & RESEARCH, INC.
September 13, 2006 - September 8, 2011
VALIC FINANCIAL ADVISORS, INC.
June 26, 1995 - June 29, 2006
SECURITIES MANAGEMENT & RESEARCH, INC.
February 25, 1985 - December 31, 2000
NATIONWIDE INVESTMENT SERVICES CORPORATION
June 19, 1983 - April 1, 1985
AETNA LIFE INSURANCE AND ANNUITY COMPANY
December 2, 1981 - April 1, 1982
NATIONWIDE INVESTMENT SERVICES CORPORATION
November 21, 1978 - June 30, 1995
G. R. PHELPS & CO., INC.
Primary Firm SEC Registration
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
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
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 1
Date: 11/14/1978
Registered Representative ExaminationCurrent Firm
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
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.
