Willie Miles

MILES WEALTH MANAGEMENT, L.L.C.

Houston, TX

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CRD#: 3149869

Professional summary

Willie Miles JR., CFP®, who also goes by Willie Miles Jr, Willie Miles, is a registered financial advisor currently at MILES WEALTH MANAGEMENT, L.L.C. located in Houston, Texas.

Willie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Willie has worked at 7 firms and has passed the Series 66, SIE, Series 31, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Willie Miles Jr | Willie Miles

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)02/2014 - SERVES ON THE BOARD OF WALIPP PREPARATORY ACADEMY SCHOOL, HOUSTON, TX, APPROX. 2 HOURS A MONTH. 2) W.A.L.I.P.P. (WILLIAM A. LAWSA INSTITUTE OF PEAE AND PROPERTY) , NON-INVESTMENT RELATED, P.O. BOX 88327 HOUSTON TX 77288, CHARTER SCHOOL & SR. LIVING FACILITY, BOARD MEMBER START DATE 2/22/2014, 2-3 HRS MONTH, 0 DURING TRADING HOURS ( BOARD MEETING ON 4TH SATURDAY OF THE MONTH), REVIEWING BUDGET, AUDIT AND STRATEGIC PLANS, PARTICIPATING ON PLANNING MEETINGS AND FUND RAISING EVENTS/PROGRAMS. 3)INSURANCE AGENT; SALES & SERVICE OF FIXED LIFE INSURANCE START DATE:9/12/13

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Willie Miles JR.'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®

CFP^®

Certified Financial Planner

Start date: 2002

Experience

Current

May 28, 2013 - Present

MILES WEALTH MANAGEMENT, L.L.C.

RIA

CRD#: 166621

Houston, TX

Past

June 13, 2013 - November 17, 2017

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

HOUSTON, TX

Past

June 23, 2006 - June 24, 2013

LPL FINANCIAL LLC

RIA

CRD#: 6413

HOUSTON, TX

Past

June 23, 2006 - June 24, 2013

LPL FINANCIAL LLC

CRD#: 6413

HOUSTON, TX

Past

December 10, 2004 - June 28, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

HOUSTON, TX

Past

December 10, 2004 - June 28, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

HOUSTON, TX

Past

December 2, 2002 - December 17, 2004

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

HOUSTON, TX

Past

November 29, 2002 - December 17, 2004

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

April 15, 1999 - December 2, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

HOUSTON, TX

Past

April 6, 1999 - December 2, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

February 3, 1999 - April 7, 1999

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

February 3, 1999 - April 7, 1999

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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.

Highlighted states indicate IAR registrations

IAR

Louisiana
(3/28/2022)

IAR

Texas
(6/10/2013)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/13/1999

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 11/17/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 5/7/1999

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 2/2/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/22/2006

General Securities Principal Examination

Current Firm

MILES WEALTH MANAGEMENT, L.L.C.

CRD#: 166621 / SEC#:

California

Registered Investment Advisory firm - (9/2/2017 Terminated)

Georgia

Registered Investment Advisory firm - (9/1/2017 Terminated)

Louisiana

Registered Investment Advisory firm - (3/28/2022 Approved)

Michigan

Registered Investment Advisory firm - (8/10/2017 Terminated)

Texas

Registered Investment Advisory firm - (6/10/2013 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Houston, TX

Mailing Address

6340 N. Eldridge Pkwy #n121, Houston, TX 77041

Phone number

(713) 927-5292

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	50
AUM (Assets Under Management)	$ 5,500,000

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.

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Firm Stability Insights

Willie Miles

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Willie Miles JR.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

LPL FINANCIAL LLC

LPL FINANCIAL LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/13/1999

SIE

Date: 11/17/2017

Series 31

Date: 5/7/1999

Series 7

Date: 2/2/1999

Series 24

Date: 10/22/2006

Current Firm

MILES WEALTH MANAGEMENT, L.L.C.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

MILES WEALTH MANAGEMENT, L.L.C.

TRUST BUT VERIFY

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