William G. Miles
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 Gerard Miles, who also goes by Jerry Miles, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1998. William had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 29, 2016 - May 3, 2018
1ST GLOBAL CAPITAL CORP.
December 23, 2015 - May 3, 2018
1ST GLOBAL ADVISORS INC
October 24, 2005 - October 2, 2009
KERKERING BARBERIO FINANCIAL SERVICES, INC.
August 12, 2005 - June 21, 2010
COMMONWEALTH FINANCIAL NETWORK
August 6, 1998 - August 19, 2005
LPL FINANCIAL LLC
August 4, 1998 - August 19, 2005
LPL FINANCIAL LLC
January 28, 1998 - June 2, 1998
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
January 28, 1998 - June 2, 1998
EQUITABLE ADVISORS, LLC
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
Current Firm
1ST GLOBAL CAPITAL CORP.
CRD#: 30349 / SEC#: , 8-44870
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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.
