WM
William W. Miller
CETERA INVESTMENT ADVISERS LLC
SPRINGFIELD, MO 65809
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CRD#: 4287703
WM
Professional summary
William W Miller JR, AIF® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Springfield, Missouri and CETERA FINANCIAL SPECIALISTS LLC located in Springfield, Missouri.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. William has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
1) WATERVIEW LANE INVESTMENTS LLC, NOT INV REL, PASSIVE REAL ESTATE INVESTMENT, MEMBER, 1/5 OWNER NOT MANAGING MBR, SINCE 08/2007: 2) HICKORY STICKS INVESTMENT CLUB; NOT INV REL; SPRINGFIELD, MO; INVESTMENT CLUB; MEMBER; START DATE 1/26/2004; 2 HRS/MTH: 3) MILLER ADKINS, LLC, NOT INV REL; SAME AS REGISTERED LOC; CPA FIRM; START: 09/2023; 30 HOURS/WEEK DURING TRADING HOURS; PROVIDING BUSINESS & INDIVIDUAL ACCOUNTING & INCOME TAX SERVICES 4) NAME OF OTHER BUSINESS: DBA MILLER & ASSOCIATES INVESTMENT SERVICES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 08/18/2016; POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR; APX NUMBER OF HOURS PER WEEK: 25 HOURS; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: DBA FOR SECURITIES BUSINESS. 5)NAME OF OTHER BUSINESS: MILLER & ASSOCIATES INVESTMENT SERVICES LLC; INVESTMENT RELATED: NO; ADDRESS: SAME ASREGISTERED LOCATION; NATURE OF BUSINESS: PAYROLL PROCESSING; START DATE: 01/2019; POSITION/TITLE/RELATIONSHIP: OWNER / SOLE MEMBER; APX NUMBER OF HOURS PER WEEK: NONE; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: PAYROLL PROCESSING FOR INVESTMENT PERSONNEL;
CRS (Client Relationship Summary) - RIA
Click below to view William W Miller JR's 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®
Experience
Current
February 1, 2001 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 2305-a South Blackman Road Suite 300, Springfield, MO 65809RIA
CRD#: 105644
SPRINGFIELD, MO
Current
November 30, 2000 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 2305-a South Blackman Road Suite 300, Springfield, MO 65809BD
CRD#: 10358
Springfield, MO
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Missouri(11/30/2000)
IAR
Missouri(2/1/2001)
IAR
Texas(8/30/2018)
RR
Texas(3/31/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Springfield, MO 65809TRUST BUT VERIFY
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