William K. Miehe
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 Karl Miehe, CFP® was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1992. William had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 1, 2012 - December 2, 2014
BMO HARRIS FINANCIAL ADVISORS, INC.
August 1, 2012 - December 2, 2014
BMO HARRIS FINANCIAL ADVISORS, INC.
April 20, 2012 - August 1, 2012
M&I FINANCIAL ADVISORS, INC
April 28, 2010 - April 19, 2012
M&I INVESTMENT MANAGEMENT CORP.
November 1, 2007 - March 26, 2010
M&I FINANCIAL ADVISORS, INC
November 1, 2007 - August 1, 2012
M&I FINANCIAL ADVISORS, INC
July 31, 1993 - October 16, 2007
CITIGROUP GLOBAL MARKETS INC.
August 4, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
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
Series 8
Date: 10/8/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BMO HARRIS FINANCIAL ADVISORS, INC.
CRD#: 137115 / SEC#: 801-64847, 8-67064
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 7 |
Red Flags
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