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WM

William Miller

WILLIAM O'NEIL SECURITIES
NEW YORK, NY 10017
Some features on this profile are disabled
CRD#: 3137157
WM

Professional summary

William Miller is a registered financial professional currently at WILLIAM O'NEIL SECURITIES located in New York, New York.

William is registered as a RR (Registered Representative) and started their career in finance in 1999. William has worked at 3 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 24 and Series 4 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view William 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®
None

Experience

Current

March 26, 2018 - Present

WILLIAM O'NEIL SECURITIES

Office #1: 485 Lexington Avenue 30th Floor Suite 3015, New York, NY 10017
BD
CRD#: 894
NEW YORK, NY
Past

October 7, 2002 - April 12, 2018

THE BENCHMARK COMPANY, LLC

BD
CRD#: 22982
NEW YORK, NY
Past

July 12, 1999 - November 21, 2002

DEUTSCHE IXE, LLC

BD
CRD#: 7172
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
California
(3/26/2018)
RR
Connecticut
(3/26/2018)
RR
Florida
(3/26/2018)
RR
Missouri
(3/26/2018)
RR
New Jersey
(3/26/2018)
RR
New York
(3/26/2018)
RR
Pennsylvania
(3/26/2018)
RR
Washington
(3/26/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 5/19/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 8/13/1999
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 7/9/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/26/2021
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 6/28/2019
Registered Options Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

WO
WILLIAM O'NEIL SECURITIES
O'NEIL SECURITIES INCORPORATED | WILLIAM O'NEIL SECURITIES INCORPORATED | WILLIAM O'NEIL SECURITIES | WILLIAM O'NEIL & COMPANY, INCORPORATED | WILLIAM O'NEIL & CO., INCORPORATED | WILLIAM O'NEIL & CO. INCORPORATED | O'NEIL SECURITIES, INCORPORATED

CRD#: 894 / SEC#: , 8-11763

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
211 Congress Street 5th Floor Suite B, Boston, MA, 02110
Mailing Address
211 Congress Street 5th Floor Suite B, Boston, MA, 02110
Phone number
(617) 936-8584
Established
California since 11/07/1963
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
O'NEIL CAPITAL MANAGEMENT INC.PARENT COMPANY
ACHEKIAN, TROFINANCE MANAGER, FINOP7864191
JANNETTA, GREGORY SAMUELCHIEF EXECUTIVE OFFICER2557823
MASOTTI, ALEXANDER VICTORGENERAL COUNSEL & CHIEF COMPLIANCE OFFICER6375390

Disclosures

Regulatory Event4

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.

Company Information

WILLIAM O'NEIL SECURITIES

CRD#: 894New York, NY 10017

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