William R. Milek
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 Richard Milek, who also goes by Bill Milek, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1970. William had worked at 8 firms and has passed the Series 63, Series 7TO, SIE, Series 5, Series 000, Series 1 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
January 1, 2005 - October 23, 2023
D.A. DAVIDSON & CO.
May 24, 1991 - January 1, 2005
KFS BD, INC.
August 5, 1988 - June 3, 1991
HANIFEN, IMHOFF INC.
September 9, 1987 - August 8, 1988
LM CONSOLIDATED FINANCIAL CORP.
August 11, 1986 - August 11, 1987
BOETTCHER & COMPANY, INC.
February 9, 1982 - June 3, 1991
HANIFEN, IMHOFF INC.
August 7, 1978 - August 11, 1986
HANIFEN, IMHOFF INC.
August 10, 1976 - August 8, 1978
GERWIN AND COMPANY
May 22, 1974 - February 11, 1975
J. IMHOFF-NIMMO & CO.
January 26, 1972 - June 9, 1974
HANIFEN, IMHOFF INC.
December 18, 1970 - May 22, 1971
PENNSYLVANIA SECURITIES COMPANY
Primary Firm SEC Registration
D.A. DAVIDSON & CO.
CRD#: 199 / SEC#: 801-45761, 8-2399
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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 5
Date: 3/31/1982
Interest Rate Options ExaminationSeries 000
Date: 5/11/1973
General Securities Principal ExaminationSeries 1
Date: 12/10/1970
Registered Representative ExaminationCurrent Firm
D.A. DAVIDSON & CO.
CRD#: 199 / SEC#: 801-45761, 8-2399
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| D.A. DAVIDSON COMPANIES | HOLDING COMPANY | |
| BEAUPREZ, JACQUELINE ANN | SVP, GENERAL COUNSEL | 4075012 |
| CRONK, JAMES LEE | PRINCIPAL OPERATIONS OFFICER | 1104799 |
| DISPENSE, MARC RUSSELL | PRESIDENT, FIXED INCOME CAPITAL MARKETS | 4655410 |
| MARTINEZ, LAWRENCE TODD | CHARIMAN AND CEO, D.A. DAVIDSON COMPANIES, DIRECTOR | 4596308 |
| MCCUBBIN, JARED C | SVP, CHIEF COMPLIANCE OFFICER | 4969077 |
| MCKINNEY, RORY ADAM | PRESIDENT, EQUITY CAPITAL MARKETS | 4735577 |
| PURPURA, MICHAEL JOSEPH | PRESIDENT, WEALTH MANAGEMENT, DIRECTOR | 2095576 |
| ZADICK, JUSTINE MILNE | PRINCIPAL FINANCIAL OFFICER | 6452559 |
Regulatory assets under management
| Total Number of Accounts | 86,818 |
| AUM (Assets Under Management) | $ 36,175,333,459 |
Disclosures
| Regulatory Event | 41 |
| Arbitration | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/13/2025 | ||
| 09/27/2024 | ||
| 11/13/2023 | ||
| 12/22/2022 |
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.
