William P. Middleton
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 Patrick Middleton, who also goes by Bill Middleton, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1992. William had worked at 4 firms and has passed the Series 65, Series 63, Series 2 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
February 27, 2004 - January 3, 2019
SOUND PORTFOLIO ADVISORS, LLC
January 11, 1997 - December 31, 2003
INVESTMENT MANAGEMENT ADVISORS, INC.
May 28, 1996 - October 31, 1996
MONITOR INVESTMENT GROUP, INC.
July 27, 1992 - June 2, 1995
FEDERATED SECURITIES CORP.
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 2
Date: 4/23/1996
Non-Member General Securities ExaminationCurrent Firm
SOUND PORTFOLIO ADVISORS, LLC
CRD#: 129896 / SEC#:
Contact information
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.
