William M. Milner
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 Moultrie Milner, who also goes by Bill Milner, was a registered financial advisor .
William is a previously registered financial advisor and started their career in finance in 1970. William had worked at 6 firms and has passed the Series 63, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 1, 1995 - March 29, 2005
LEGG MASON WOOD WALKER, INCORPORATED
April 23, 1993 - March 29, 2005
LEGG MASON WOOD WALKER, INCORPORATED
February 14, 1991 - April 6, 1993
PRUDENTIAL EQUITY GROUP, LLC
April 11, 1988 - February 21, 1991
LEHMAN BROTHERS INC.
July 14, 1978 - April 11, 1988
E. F. HUTTON & COMPANY INC
October 25, 1971 - June 6, 1978
THE ROBINSON-HUMPHREY COMPANY, LLC
August 18, 1970 - November 27, 1971
JOHNSON, LANE, SPACE, SMITH & CO., INC.
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: 5/1/1977
AMEX Put and Call ExamSeries 1
Date: 8/5/1970
Registered Representative ExaminationCurrent Firm
LEGG MASON WOOD WALKER, INCORPORATED
CRD#: 6555 / SEC#: , 8-15939
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITIGROUP GLOBAL MARKETS HOLDINGS INC. | OWNER | |
| HESSLEIN, LAURIE ANN | DIRECTOR | 1158755 |
| MORRIS, JOHN CHURCHILL | CHIEF OPERATION OFFICER | 734315 |
| MORRIS, JOHN CHURCHILL | DIRECTOR | 734315 |
| PEARL, JONATHAN MARK | SENIOR REGISTERED OPTION PRINCIPAL | 839718 |
| PROCOPIO, ROCCO JR | COMPLIANCE REGISTERED OPTION PRINCIPAL | 2663616 |
| SABELHAUS, ROBERT GREGORY | CHIEF EXECUTIVE OFFICER & PRESIDENT | 408581 |
| VERRON, CLIFF | CHIEF FINANCIAL OFFICER/TREASURER | 4332129 |
| WEAVER, BARBARA LITTLE | CHIEF COMPLIANCE OFFICER | 845541 |
Disclosures
| Regulatory Event | 26 |
| Arbitration | 45 |
Red Flags
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