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Detailed Report
ROBERT DOUGLAS MILLER JR
CRD#: 4130503
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Previous Investment Adviser
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Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
FINRA has suspended this individual from acting as a broker. Please see the detailed report for more information
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
200420052006200720082009201020112012IAPNC INVESTMENTS (CRD# 129052)2009 - 2010 (<1 year)IANATCITY INVESTMENTS, INC. (CRD# 17490)2009 - 2009 (<1 year)IAEDWARD JONES (CRD# 250)2008 - 2008 (<1 year)IAWACHOVIA SECURITIES, LLC (CRD# 19616)2007 - 2008 (<1 year)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2006 - 2007 (<1 year)IAMORGAN STANLEY (CRD# 7556)2004 - 2006 (2 years)IALINSCO/PRIVATE LEDGER CORP. (CRD# 6413)2004 - 2004 (<1 year)
Disclosure(s)
View By:
5/31/2011
Regulatory
Final
3/23/2011
Regulatory
Final
Previous Registration(s)
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 11/13/2009 - 02/10/2010 PNC INVESTMENTS (CRD#:129052) ST. PETERS, MO
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 10/15/2009 - 11/13/2009 NATCITY INVESTMENTS, INC. (CRD#:17490) ST. PETERS, MO
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 03/05/2008 - 08/08/2008 EDWARD JONES (CRD#:250) ST LOUIS, MO
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 03/23/2007 - 02/19/2008 WACHOVIA SECURITIES, LLC (CRD#:19616) ST. LOUIS, MO
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 05/05/2006 - 04/02/2007 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) CHESTERFIELD, MO
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 03/10/2004 - 05/09/2006 MORGAN STANLEY (CRD#:7556) CHESTERFIELD, MO
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 03/09/2004 - 03/11/2004 LINSCO/PRIVATE LEDGER CORP. (CRD#:6413) CREVE COUER, MO
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B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.