# EDGAR Filing Document

**Accession Number:** 0001116109
**File Stem:** 0001116109-23-000004
**Filing Date:** 2023-3
**Character Count:** 12497
**Document Hash:** e775b6d5ec135a9a24b840d4e5b5f7af
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001116109-23-000004.hdr.sgml**: 20230414

**ACCESSION NUMBER**: 0001116109-23-000004

**CONFORMED SUBMISSION TYPE**: MA-A

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230321

**DATE AS OF CHANGE**: 20230414

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** MILLER BUCKFIRE & CO., LLC
- **CENTRAL INDEX KEY:** 0001116109
- **IRS NUMBER:** 020613709
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** MA-A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 867-01708
- **FILM NUMBER:** 23820427

**BUSINESS ADDRESS:**
- **STREET 1:** 787 7TH AVENUE
- **STREET 2:** 5TH FLOOR
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10019
- **BUSINESS PHONE:** 212-887-6770

**MAIL ADDRESS:**
- **STREET 1:** 787 7TH AVENUE
- **STREET 2:** 5TH FLOOR
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10019

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** MILLER BUCKFIRE YING & CO., LLC
- **DATE OF NAME CHANGE:** 20050201

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** MILLER BUCKFIRE LEWIS YING & CO., LLC
- **DATE OF NAME CHANGE:** 20050125

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** MILLER BUCKFIRE YING & CO., LLC
- **DATE OF NAME CHANGE:** 20050124

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM MA: UNIFORM APPLICATION FOR MUNICIPAL ADVISOR REGISTRATION

### Filer and Contact Information

**Filer CIK:** 0001116109

**Filer CCC:** XXXXXXXX

**Contact Name:** Matt Wilhelm

**Contact Phone:** 314-342-7341

**Contact Email:** wilhelmm@stifel.com

**Notification Emails:** poec@stifel.com, johnstonem@stifel.com, longs@stifel.com, fultzrh@stifel.com

### Type of Filing

**Selected Filing Type:** Annual Update

### Item 1: Identifying Information

**A. Full Legal Name of the Firm:** MILLER BUCKFIRE & CO., LLC

**&nbsp;&nbsp;&nbsp;Organization CRD No.:** 104156

**&nbsp;&nbsp;&nbsp;Is applicant a Sole Proprietor?:** No

**&nbsp;&nbsp;&nbsp;Has the municipal legal name changed since the last filing?:** No

**&nbsp;&nbsp;&nbsp;Has the applicant had any previous DBA names?:** No

**&nbsp;&nbsp;&nbsp;Does the applicant have any additional DBA names?:** No

**C. IRS Employer Identification Number:** 02-0613709

**D. Registrations:**

- **Municipal Advisor (Temporary):** SEC File No: 866-00957

- **Municipal Advisor:** SEC File No: 867-01708

- **Broker-Dealer:** SEC File No: 008-52631, CRD No: 104156

**E. Principal Office and Place of Business:** 787 7TH AVENUE, NEW YORK, NY, 10019

**Telephone Number:** 212-895-1800

**Mailing Address is Different from Principal Office:** No

**F. Website:** http://www.millerbuckfire.com/

**G. Chief Compliance Officer (CCO):**

**Name:** Mary Carlton Johnstone

**Titles:** CCO

**Address:** 787 7TH AVENUE, NEW YORK, NY, 10019

**Phone Number:** 212-887-6770

**Email:** johnstonem@stifel.com

**H. Business Affiliates:**

- **Name:** STIFEL FINANCIAL CORP

- **Name:** MB ADVISORY GROUP LLC

**I. Location of Books and Records:** Yes

### Item 2: Form of Organization

**A. Applicant's form of organization:** Limited Liability Company (LLC)

**B. Month of Applicant's Annual Fiscal Year End:** December

**C. State, Other U.S. Jurisdiction, or Foreign Jurisdiction Under Which Applicant is Organized:** DE

**D. Date of Organization:** 04-01-2002

**E. Is the applicant a public reporting company?:** No

### Item 3: Successions

**Is the applicant succeeding to the business of a registered municipal advisor?** No

### Item 4: Information About Applicant's Business

**A. Number of Employees:** 24

**B. Municipal Advisory Activities - Employees:** 2

**C. Registered Representatives - MAA Employees also registered reps of a broker-dealer:** 2

**&nbsp;&nbsp;&nbsp;MAA Employees also associated with an investment adviser:** 0

**D. Public Relations Company?:** No

**E. Soliciting on Behalf of an Affiliate - Number of firms:** 0

**F. Types of Clients - Number of clients served as municipal advisor:** 0

**&nbsp;&nbsp;&nbsp;Types of Clients:** Other

**G. Solicitation of Municipal Entities and Obligated Persons - Municipal Entities:** 0

**&nbsp;&nbsp;&nbsp;Obligated Persons:** 0

**&nbsp;&nbsp;&nbsp;Total Solicited:** 0

**H. Types of Persons Solicited:** 
Not Applicable
, Not Applicable

**I. Compensation Arrangements (Municipal Advisory):** 
Fixed Fees
Contingent Fees
, Fixed Fees, Contingent Fees

**J. Compensation Arrangements (Solicitation):** 
Not Applicable
, Not Applicable

**K. Does the applicant receive compensation in the context of its municipal advisory business from other than its municipal entity or obligated person clients?:** No

**L. Applicant Business Relating to Municipal Securities:** Advice Insurance Of MS

### Item 5: Other Business Activities

- **Broker-Dealer:** Actively Engaged: Yes, Primary Business: Yes

**Is applicant engaged in any other non-municipal advisor business?** No

### Item 6: Financial Industry and Other Activities of Associated Persons

**Types of associated persons:** Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Commodity pool operator, Commodity trading advisor, Banking/Thrift institution, Trust Company, Insurance company or agency, Other municipal advisor, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Commodity pool operator, Commodity trading advisor, Other municipal advisor, Insurance company or agency, Investment Adviser, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Trust Company, Trust Company, Banking/Thrift institution, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Company, Investment Company, Investment Adviser, Banking/Thrift institution, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Trust Company, Insurance company or agency, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer

**Total Associated Persons:** 23

### Item 7: Participation or Interest in Client Transactions

- **Buy or sell municipal securities from or to municipal advisory clients for the firm's own account?:** No

- **Buy or sell municipal securities from or to third-parties on behalf of clients?:** No

- **Enter into derivatives transactions with clients for the firm's own account?:** No

- **Recommend to clients to buy/sell securities in which the firm has a financial interest?:** No

- **Recommend to clients products/services of an affiliated person?:** No

- **Recommend to clients securities of an issuer with which the firm has other relationships?:** No

- **Have discretionary authority to buy/sell municipal securities for clients?:** No

- **Have discretionary authority to buy/sell any other securities or investments for clients?:** No

- **Have discretionary authority to determine the broker-dealer to be used for client transactions?:** No

- **Have discretionary authority to determine the commission paid to a broker-dealer?:** No

- **Recommend broker-dealers to clients?:** No

- **&nbsp;&nbsp;&nbsp;If yes, are any of these broker-dealers an associated person of the applicant?:** —

- **Compensate any person for client referrals?:** No

- **Receive compensation from any person for client referrals?:** No

### Item 8: Owners, Officers, and Other Control Persons

**A. (2) Does any person not named in Item 1-A or Schedules A, B, or C, directly or indirectly, control the applicant's management or policies?** No

**B. (1) Is any person in Schedule A, B, or C, or in Section 8-A of Schedule D a public reporting company?** No

### Item 9: Disclosure Information

**Criminal Disclosure:**

- **Applicant/Advisory Affiliate Convicted/Pled Guilty to Felony?:** No

- **Applicant/Advisory Affiliate Charged with Felony?:** No

- **Organization Convicted/Pled Guilty to Felony?:** No

- **Organization Charged with Felony?:** No

**Regulatory Disclosure:**

- **SEC/CFTC Found False Statement?:** No

- **SEC/CFTC Found Violation?:** No

- **SEC/CFTC Found Cause of Denial/Suspension?:** No

- **SEC/CFTC Entered Order?:** No

- **SEC/CFTC Imposed Civil Penalty?:** No

- **SRO Found Unethical Conduct?:** No

- **SRO Found Violation?:** No

- **SRO Found Cause of Denial/Suspension?:** No

- **SRO Barred/Suspended/Fined > $2,500?:** No

- **SRO Denied/Suspended/Revoked Registration?:** No

- **Foreign Authority Found False Statement?:** No

- **Foreign Authority Found Violation?:** No

- **Foreign Authority Found Cause of Suspension?:** No

- **Foreign Authority Disciplined?:** No

- **Authorization to Act as Attorney/Accountant Revoked?:** No

- **Subject of a Regulatory Complaint?:** No

**Civil Disclosure:**

- **Enjoined in Connection with Municipal Advisory Activity?:** No

- **Found to Have Violated Regulations?:** No

- **Civil Proceeding Dismissed Pursuant to Settlement?:** No

- **Named in Civil Proceeding Alleging Violation?:** No

### Item 10: Small Businesses

**Does the applicant have annual receipts of less than $7,000,000?** No

**Is the applicant affiliated with a person that has annual receipts of more than $7,000,000?** No

### Schedule A: Direct Owners and Executive Officers

| Name                   | Title/Status    | Date Acquired   | Ownership Code    | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|
| MB ADVISORY GROUP LLC  | MEMBER          | 04-01-2002      | E - 75% or more   | Yes               | 01-0670017   |  |
| Mark Philip Fisher     | GENERAL COUNSEL | 06-01-2014      | NA - less than 5% | No                |  | 4970942      |
| Kenneth Alan Buckfire  | President       | 04-01-2013      | NA - less than 5% | Yes               |  | 1713009      |
| Mary Carlton Johnstone | CCO             | 11-20-2015      | NA - less than 5% | No                |  | 1170408      |
| Richard William Smith  | CFO/FINOP       | 11-20-2015      | NA - less than 5% | Yes               |  | 1333488      |

### Schedule B: Indirect Owners

| Owning Entity         | Name                  | Title/Status   | Date Acquired   | Ownership Code   | Control Person?   | IRS Number   |
|:---|:---|:---|:---|:---|:---|:---|
| MB ADVISORY GROUP LLC | STIFEL FINANCIAL CORP | Owner          | 12-01-2012      | E - 75% or more  | Yes               | 43-1273600   |

### Schedule C: Amendments to Schedules A and B

| Type   | Ownership   | Owning Entity         | Name                   | Title/Status    | Date Acquired   | Ownership Code    | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|:---|:---|:---|
|  | Direct      |  | MB ADVISORY GROUP LLC  | MEMBER          | 04-01-2002      | E - 75% or more   | Yes               | 01-0670017   |  |
|  | Indirect    | MB ADVISORY GROUP LLC | STIFEL FINANCIAL CORP  | Owner           | 12-01-2012      | E - 75% or more   | Yes               | 43-1273600   |  |
|  | Direct      |  | Mark Philip Fisher     | GENERAL COUNSEL | 06-01-2014      | NA - less than 5% | No                |  | 4970942      |
|  | Direct      |  | Kenneth Alan Buckfire  | President       | 04-01-2013      | NA - less than 5% | Yes               |  | 1713009      |
|  | Direct      |  | Mary Carlton Johnstone | CCO             | 11-20-2015      | NA - less than 5% | No                |  | 1170408      |
|  | Direct      |  | Richard William Smith  | CFO/FINOP       | 11-20-2015      | NA - less than 5% | Yes               |  | 1333488      |

### Execution Page

**Signature:** Mary Johnstone

**Signer Name:** Mary Johnstone

**Title:** Chief Compliance Officer

**Date:** 03-21-2023

**CRD Number:** 1170408