William H. Mildren

CADENT CAPITAL ADVISORS

Tulsa, OK 74137

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CRD#: 334144

Professional summary

William Hale Mildren, who also goes by Bill Mildren, is a registered financial advisor currently at CADENT CAPITAL ADVISORS, LLC located in Tulsa, Oklahoma.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1969. William has worked at 13 firms and has passed the Series 65, Series 63, SIE, PC, Series 1, Series 8, Series 53, Series 24, Series 4 and Series 12 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bill Mildren

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.

ST. PAUL PLACE, DALLAS, TEXAS; BUSINESS IS INVESTMENT RELATED; NEW OFFICE TOWER FOR COMMERCIAL OCCUPANCY BUT BUSINESSES, ETC. - REAL ESTATE INVESTMENT/RENTAL PROPERTY; START: FEBRUARY 2016; NO TITLE, NO RESPONSIBILITIES, PURELY PASSIVE; 0 HOURS DEVOTED TO ACTIVITY PER MONTH; 0 HOURS DEVOTED TO ACTIVITY DURING TRADING HOURS; PERCENTAGE OF LEASE INCOME ONLY - ROUGHLY 5%.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Hale Mildren's CRS (Customer Relationship Summary).

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

June 20, 2019 - Present

CADENT CAPITAL ADVISORS, LLC

Office #1: 4525 East 91st Street, Tulsa, OK 74137

RIA

CRD#: 169704

Tulsa, OK

Past

December 17, 2012 - June 18, 2019

B. RILEY WEALTH MANAGEMENT

RIA

CRD#: 2543

TULSA, OK

Past

December 14, 2012 - June 18, 2019

B. RILEY WEALTH MANAGEMENT

CRD#: 2543

TULSA, OK

Past

June 16, 2006 - December 17, 2012

SANDERS MORRIS LLC

RIA

CRD#: 20580

TULSA, OK

Past

February 18, 2004 - December 31, 2006

SMH CAPITAL ADVISORS LLC

RIA

CRD#: 108344

TULSA, OK

Past

December 2, 2003 - December 17, 2012

SANDERS MORRIS LLC

CRD#: 20580

TULSA, OK

Past

June 13, 2001 - December 5, 2003

PIPER SANDLER & CO.

RIA

CRD#: 665

TULSA, OK

Past

June 28, 1999 - December 5, 2003

PIPER SANDLER & CO.

CRD#: 665

MINNEAPOLIS, MN

Past

March 2, 1998 - June 16, 1999

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

January 2, 1998 - March 2, 1998

DAIN RAUSCHER INCORPORATED

CRD#: 7600

Past

October 9, 1996 - January 2, 1998

RAUSCHER PIERCE REFSNES, INC.

CRD#: 6663

DALLAS, TX

Past

October 6, 1994 - October 4, 1996

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

November 19, 1990 - September 23, 1994

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

February 15, 1988 - December 14, 1990

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

May 21, 1984 - February 15, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

December 9, 1969 - June 25, 1984

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

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".

CADENT CAPITAL ADVISORS, LLC

CADENCE CAPITAL MANAGEMENT, LLC | MOOBERRY, PHILIP A. | CADENT CAPITAL ADVISORS, LLC

CRD#: 169704 / SEC#: 801-78860

RIA

Registered Investment Advisory firm - (12/2/2013 Approved)

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

Oklahoma
(6/20/2019)

IAR

Texas
(11/18/2020)

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 65

Date: 8/20/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/10/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

PC

Date: 9/7/1977

AMEX Put and Call Exam

General Industry/Product Exam

Series 1

Date: 12/5/1969

Registered Representative Examination

Principal/Supervisory Exam

Series 8

Date: 12/16/1994

General Securities Sales Supervisor Examination (Options Module & General Module)

Principal/Supervisory Exam

Series 53

Date: 11/7/1988

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 6/7/1988

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 6/25/1985

Registered Options Principal Examination

Principal/Supervisory Exam

Series 12

Date: 8/29/1974

NYSE Branch Manager Examination

Current Firm

CADENT CAPITAL ADVISORS, LLC

CADENCE CAPITAL MANAGEMENT, LLC | MOOBERRY, PHILIP A. | CADENT CAPITAL ADVISORS, LLC

CRD#: 169704 / SEC#: 801-78860

RIA

Registered Investment Advisory firm - (12/2/2013 Approved)

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Contact information

Main Address

4525 East 91st Street, Tulsa, OK 74137

Mailing Address

Phone number

(918) 935-3450

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CADENT CAPITAL MANAGEMENT, LLC (7/7/2025)

Regulatory assets under management

Total Number of Accounts	1,315
AUM (Assets Under Management)	$ 651,008,144

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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Advisor Monitoring

Firm Stability Insights

William H. Mildren

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Hale Mildren's CRS (Customer Relationship Summary).

Certified licenses

Experience

B. RILEY WEALTH MANAGEMENT

B. RILEY WEALTH MANAGEMENT

SANDERS MORRIS LLC

SMH CAPITAL ADVISORS LLC

SANDERS MORRIS LLC

PIPER SANDLER & CO.

PIPER SANDLER & CO.

RBC CAPITAL MARKETS, LLC

DAIN RAUSCHER INCORPORATED

RAUSCHER PIERCE REFSNES, INC.

WELLS FARGO CLEARING SERVICES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

LEHMAN BROTHERS INC.

E. F. HUTTON & COMPANY INC

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

CADENT CAPITAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/20/1993

Series 63

Date: 9/10/1980

SIE

Date: 10/1/2018

PC

Date: 9/7/1977

Series 1

Date: 12/5/1969

Series 8

Date: 12/16/1994

Series 53

Date: 11/7/1988

Series 24

Date: 6/7/1988

Series 4

Date: 6/25/1985

Series 12

Date: 8/29/1974

Current Firm

CADENT CAPITAL ADVISORS, LLC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CADENT CAPITAL ADVISORS, LLC

TRUST BUT VERIFY

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