William R. 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 Randal Miller, who also goes by W. Randal Miller, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1984. William had worked at 3 firms and has passed the Series 63, Series 7, Series 4, Series 53, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 21, 1989 - September 19, 2008
NORTHGATE SECURITIES INC.
August 20, 1985 - April 8, 1989
R. A. JOHNSON AND COMPANY, INC.
June 14, 1984 - June 20, 1985
COMMONWEALTH SECURITIES OF UTAH
State Registrations and Notice Filings
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Exams
Current Firm
NORTHGATE SECURITIES INC.
CRD#: 21188 / SEC#: , 8-38717
Contact information
Documents
Disclosures
| Regulatory Event | 12 |
| Arbitration | 2 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
