William Mcmillan
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 Mcmillan, who also goes by William M Mcmillam, Matt Mcmillan, William M Mcmillan, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2003. William had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 5, 2014 - June 4, 2015
ALLSTATE FINANCIAL ADVISORS, LLC
December 1, 2010 - August 4, 2014
ALLSTATE FINANCIAL ADVISORS, LLC
November 10, 2010 - June 4, 2015
ALLSTATE FINANCIAL SERVICES, LLC
September 16, 2009 - June 23, 2010
MML INVESTORS SERVICES, LLC
September 4, 2009 - June 23, 2010
MML INVESTORS SERVICES, LLC
February 26, 2008 - September 11, 2009
NYLIFE SECURITIES LLC
October 28, 2003 - February 5, 2008
EQUITABLE ADVISORS, LLC
October 21, 2003 - February 5, 2008
EQUITABLE ADVISORS, LLC
March 3, 2003 - September 15, 2003
DOUGLAS SCOTT SECURITIES, INC.
Primary Firm SEC Registration
ALLSTATE FINANCIAL ADVISORS, LLC
CRD#: 109524 / SEC#: 801-68510
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
ALLSTATE FINANCIAL ADVISORS, LLC
CRD#: 109524 / SEC#: 801-68510
Contact information
SEC notice filing (49 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 280 |
| AUM (Assets Under Management) | $ 82,015,793 |
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.
