William J. 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.
William John Miller was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1982. William had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 24 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
September 2, 2016 - January 14, 2019
IVY DISTRIBUTORS, INC.
May 9, 2005 - January 14, 2019
WADDELL & REED
May 9, 2005 - January 14, 2019
WADDELL & REED
November 4, 2002 - April 29, 2005
AMERIPRISE ADVISOR SERVICES, INC.
December 16, 1999 - November 13, 2001
TRANSAMERICA FINANCIAL ADVISORS, INC.
September 21, 1982 - September 27, 1999
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
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Exams
Current Firm
IVY DISTRIBUTORS, INC.
CRD#: 16496 / SEC#: , 8-34046
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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