William B. Miller
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 Bowers Miller, who also goes by Bill Miller, was a registered financial advisor .
William is a previously registered financial advisor and started their career in finance in 1972. William had worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, Series 52TO, SIE, Series 5, Series 15, Series 1, Series 53, Series 24, Series 4 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 2018 - February 27, 2026
LPL FINANCIAL LLC
August 12, 2005 - May 2, 2018
PETERSEN INVESTMENTS, INC.
December 11, 2002 - September 1, 2005
UBS FINANCIAL SERVICES INC.
August 14, 2000 - September 1, 2005
UBS FINANCIAL SERVICES INC.
July 28, 2000 - August 14, 2000
J.C. BRADFORD & CO.
August 7, 1990 - July 12, 2000
J.C. BRADFORD & CO.
July 8, 1983 - August 6, 1990
UBS FINANCIAL SERVICES INC.
November 1, 1982 - May 31, 1983
A. G. EDWARDS & SONS, INC.
June 30, 1982 - November 1, 1982
HOWARD, WEIL, LABOUISSE, FRIEDRICHS INC.
July 30, 1981 - May 21, 1982
LASALLE ST SECURITIES, L.L.C.
September 6, 1973 - July 17, 1981
A. G. EDWARDS & SONS, INC.
August 22, 1972 - September 30, 1973
HOWARD, WEIL, LABOUISSE, FRIEDRICHS INC.
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 5
Date: 3/1/1989
Interest Rate Options ExaminationSeries 15
Date: 9/19/1983
Foreign Currency Options ExaminationSeries 1
Date: 8/12/1972
Registered Representative ExaminationSeries 12
Date: 2/23/1980
NYSE Branch Manager ExaminationCurrent Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| MORNINGSTAR, MATTHEW EDWIN | CHIEF LEGAL OFFICER | 2510742 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 214 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
