WM
William C. Miller
PARK AVENUE SECURITIES LLC
Charlotte, NC 28210
Some features on this profile are disabled
CRD#: 2469206
WM
Professional summary
William C Miller, ChFC®, CLU®, who also goes by William Courtenay Miller, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Charlotte, North Carolina.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. William has worked at 9 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
William Courtenay Miller
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. Trustee - Lawrence Cameron Orr Joint Life Insurance Trust, Start: 01/01/2012, Address: 3250 Wood Valley Road Atlanta, GA 30327, 1 non bus hr per month, Investment related, 2. Insurance appointment with various companies other than Guardian-appointed as an agent with other companies so that I can provide their products in cases where clients request them, Start: 02/01/2012, Address:6115 Park South Drive, Suite 200 Charlotte, NC 28210, 2 bus hrs per month, Investment related, 3) Deacon - Westminster Presbyterian Church, Start: 03/01/2022, Address: 101 Colville Rd, Charlotte, NC 28207, 5-10 total hours per month; 0 during securities trading hours, Not investment related, No annual compensation,
CRS (Client Relationship Summary) - RIA
Click below to view William C Miller's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view William C Miller's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
February 19, 2009 - Present
PARK AVENUE SECURITIES LLC
Office #1: 6115 Park South Drive Suite 200, Charlotte, NC 28210RIA
BD
CRD#: 46173
Charlotte, NC
Current
September 9, 2008 - Present
PARK AVENUE SECURITIES LLC
Office #1: 6115 Park South Drive Suite 200, Charlotte, NC 28210RIA
BD
CRD#: 46173
Charlotte, NC
Past
September 9, 2005 - July 3, 2008
FERRIS, BAKER WATTS, LLC
BD
CRD#: 285
CHARLOTTE, NC
Past
January 22, 2003 - September 6, 2005
GARDNYR MICHAEL CAPITAL, INC.
BD
CRD#: 30520
MOBILE, AL
Past
August 21, 2000 - August 22, 2002
MORGAN KEEGAN & COMPANY, LLC
BD
CRD#: 4161
MEMPHIS, TN
Past
August 14, 2000 - October 5, 2000
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
December 8, 1999 - August 14, 2000
J.C. BRADFORD & CO.
BD
CRD#: 1287
NEW YORK, NY
Past
March 7, 1997 - December 9, 1999
WACHOVIA SECURITIES, INC.
BD
CRD#: 431
CHARLOTTE, NC
Past
October 24, 1994 - March 14, 1997
SUNTRUST CAPITAL MARKETS, INC.
BD
CRD#: 36888
ATLANTA, GA
Past
June 29, 1994 - October 24, 1994
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
ATLANTA, GA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
PA
PARK AVENUE SECURITIES LLC
PARK AVENUE SECURITIES LLC
CRD#: 46173 / SEC#: 801-58108, 8-51324
RIA
Registered Investment Advisory firm - SEC (11/13/2000 Approved)District of Columbia
Registered Investment Advisory firm - SEC (1/2/2002 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Georgia(11/9/2020)
IAR
Georgia(11/10/2020)
RR
North Carolina(9/9/2008)
IAR
North Carolina(2/19/2009)
RR
South Carolina(9/9/2008)
IAR
South Carolina(2/25/2009)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PA
PARK AVENUE SECURITIES LLC
PARK AVENUE SECURITIES LLC
CRD#: 46173 / SEC#: 801-58108, 8-51324
RIA
Registered Investment Advisory firm - SEC (11/13/2000 Approved)District of Columbia
Registered Investment Advisory firm - SEC (1/2/2002 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
10 Hudson Yards, New York, NY 10001
Mailing Address
10 Hudson Yards, New York, NY 10001
Phone number
+1 (888) 600-4667
Established
Delaware since 08/20/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,984
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE GUARDIAN LIFE INSURANCE COMPANY OF AMERICA | OWNER | |
| BOGGS, ALLEN WARREN | HEAD OF PRODUCT & SUPERVISION | 4751363 |
| CASWELL, MARIANNE GRACE | PRESIDENT AND ELECTED MEMBER | 6424651 |
| DAVARASHVILI, KATE | FINOP/PRINCIPAL FINANCIAL OFFICER. | 5642325 |
| DESROCHERS, CARL | ELECTED MEMBER | 7807194 |
| GALLO, JOSEPH MICHAEL | CHIEF COMPLIANCE OFFICER | 3108044 |
| HERGAN, JOSHUA NEIL | GENERAL COUNSEL | 4572643 |
| LESINA, LEYLA ADA | ELECTED MEMBER | 3004323 |
| MAHER, CARLY PRITCHARD | HEAD OF WEALTH MANAGEMENT STRATEGY AND BUSINESS OPERATIONS | 4003223 |
| PERRY, MICHAEL ANDREW | ELECTED MEMBER | 2688179 |
| RYNIKER, MICHAEL JOHN | PRINCIPAL OPERATIONS OFFICER | 2474604 |
Regulatory assets under management
| Total Number of Accounts | 71,074 |
| AUM (Assets Under Management) | $ 14,998,852,974 |
Disclosures
| Regulatory Event | 20 |
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 01/22/2025 | ||
| 11/15/2023 |
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.
