Roger Craig Miller

Current Employers

Lincoln Investment

601 Office Center Drive Suite 300, Fort Washington, PA 19034-3232 • United States

Current Registrations

Authority	Category	Status	Date
OH	RA	APPROVED	2017-07-19

OH RA
APPROVED

Since 2017-07-19

Branch Locations

Crystal Lake, IL • United States

2 Summit Park Drive, Suite Suite 210, Independence, OH 44131 • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action Yes
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination Yes

Employment History

Organization	City	State	From	To
Legend Equities Corporation	Palm Beach Gardens	FL	03/2013	Present
Legend Advisory Corporation	Palm Beach Gardens	FL	03/2013	Present
Lincoln Investment	Independence	OH	01/2017	Present

03/2013 → Present

Legend Equities Corporation

Palm Beach Gardens, FL
03/2013 → Present

Legend Advisory Corporation

Palm Beach Gardens, FL
01/2017 → Present

Lincoln Investment

Independence, OH

Previous Registrations

2013-04-05 → 2013-04-29

Legend Advisory, Llc

Independence, OH

Palm Beach Gardens, FL
2005-07-06 → 2011-06-03

Chase Investment Services Corp.

Chicago, IL

Barberton, OH
2003-06-06 → 2005-07-06

Banc One Securities Corporation

Barberton, OH

Other Businesses

METRO TRANSIT POSITION: Bus Operator, Employee, for Summit County Transit Service NATURE: Transit Bus INVESTMENT RELATED: No NUMBER OF HOURS: 140 SECURITIES TRADING HOURS: 20 START DATE: 08/04/2016 ADDRESS: 416 Kenmore Blvd, Akron OH 44301, United States DESCRIPTION: I operate a Metro Bus . My shift is four days per week.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2003-05-20
S63	Uniform Securities Agent State Law Examination	1994-09-30

S66 Uniform Combined State Law Examination

2003-05-20
S63 Uniform Securities Agent State Law Examination

1994-09-30

View on SEC IAPD