Fred F. Milligan
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.
Fred Francis Milligan, who also goes by Frederick Francis Milligan, was a registered financial professional .
Fred is a previously registered financial professional and started their career in finance in 1969. Fred had worked at 12 firms and has passed the Series 63, SIE, PC, Series 1, Series 4 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 14, 2012 - December 11, 2015
B. RILEY WEALTH MANAGEMENT
October 19, 2001 - December 17, 2012
SANDERS MORRIS LLC
July 8, 1997 - November 26, 2001
TUCKER ANTHONY INCORPORATED
January 8, 1988 - July 9, 1997
MORGAN STANLEY DW INC.
March 24, 1982 - January 22, 1988
ALEX. BROWN & SONS INCORPORATED
November 2, 1981 - March 26, 1982
SELIGMAN SECURITIES, INC.
May 22, 1979 - September 22, 1981
SCHRODER & CO. INC.
March 10, 1978 - June 22, 1979
PERSHING LLC
February 24, 1978 - March 10, 1978
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION
August 30, 1977 - February 24, 1978
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION
May 5, 1977 - October 2, 1977
HORNBLOWER WEEKS NOYES & TRASK INC
December 8, 1969 - May 5, 1977
SPENCER TRASK & CO. INCORPORATED
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
PC
Date: 4/28/1976
AMEX Put and Call ExamSeries 1
Date: 7/11/1962
Registered Representative ExaminationSeries 40
Date: 7/7/1969
Registered Principal ExaminationCurrent Firm
B. RILEY WEALTH MANAGEMENT
CRD#: 2543 / SEC#: 801-67275, 8-31206
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. | DIRECT OWNER | |
| BONNEMA, STEPHEN JOSEPH | CHIEF ADMINISTRATIVE OFFICER | 2229865 |
| MULLEN, MICHAEL ANTHONY | CHIEF EXECUTIVE OFFICER | 1428116 |
| ORTEGA, DANIEL | CHIEF COMPLIANCE OFFICER | 3095215 |
| SWAIN, MARY ANN NELL | CHIEF FINANCIAL OFFICER | 6484916 |
| ZANONE, PHILIP RICHARD JR | CHIEF OPERATING OFFICER | 2135221 |
Regulatory assets under management
| Total Number of Accounts | 9,621 |
| AUM (Assets Under Management) | $ 4,118,839,755 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 4 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/28/2022 |
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.
