William A. 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 Alec Miller, who also goes by Alec Miller, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1995. William had worked at 4 firms and has passed the Series 65, 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
February 6, 2020 - December 31, 2023
AMERICAN GLOBAL WEALTH MANAGEMENT, INC.
January 12, 2009 - December 31, 2009
WOODSTOCK FINANCIAL GROUP, INC.
January 12, 2009 - December 12, 2019
WOODSTOCK FINANCIAL GROUP, INC.
January 2, 2008 - December 31, 2008
AVALON INVESTMENT & SECURITIES GROUP, INC.
July 12, 1999 - December 31, 2007
WADDELL & REED
December 4, 1998 - December 31, 2007
WADDELL & REED
April 18, 1995 - August 16, 1996
WADDELL & REED
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
AMERICAN GLOBAL WEALTH MANAGEMENT, INC.
CRD#: 7388 / SEC#: , 8-21584
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
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.
