Miguel A. Wills
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.
Miguel Arturo Wills was a registered financial professional .
Miguel is a previously registered financial professional and started their career in finance in 1991. Miguel had worked at 9 firms and has passed the Series 63, SIE 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
April 8, 2017 - October 17, 2017
MISSIONSQUARE INVESTMENT SERVICES
January 27, 2010 - December 20, 2013
PLANMEMBER SECURITIES CORPORATION
May 8, 2007 - December 31, 2008
PRINCIPAL SECURITIES, INC.
February 13, 2006 - March 26, 2007
PRINCIPAL SECURITIES, INC.
May 29, 2003 - June 24, 2004
KOVACK SECURITIES INC.
January 29, 1998 - June 15, 1999
SIGNATOR INVESTORS, INC.
March 9, 1992 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
March 9, 1992 - December 12, 1997
PRUCO SECURITIES, LLC.
October 30, 1991 - February 5, 1992
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
October 30, 1991 - February 5, 1992
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
MISSIONSQUARE INVESTMENT SERVICES
CRD#: 23189 / SEC#: , 8-40268
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INTERNATIONAL CITY MANAGEMENT ASSOCIATION RETIREMENT CORPORATION D/B/A MISSIONSQUARE RETIREMENT | MEMBER/OWNER | |
| GANEY, PETER DAVIDSON | MANAGER | 2282691 |
| HOGENDORN, SHANNON DANIEL | CHIEF OPERATIONS OFFICER | 3221945 |
| HOGENDORN, SHANNON DANIEL | PRINCIPAL MANAGER | 3221945 |
| RICHARDS, CLIFF LAWRENCE | CHIEF COMPLIANCE OFFICER | 2974428 |
| WHITTY, RICHARD PATRICK | TREASURER/FINOP | 1988149 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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