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The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

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Ervin Randolph Millwood III

Ervin R. Millwood

GUARDIAN WEALTH ADVISORS
RALEIGH, NC 27607
Some features on this profile are disabled
CRD#: 5066675
Ervin Randolph Millwood III

Professional summary

Ervin Randolph Millwood III, AIF®, CFP®, CIMA®, who also goes by Ervin Randolph Millwood, is a registered financial advisor currently at GUARDIAN WEALTH ADVISORS, LLC located in Raleigh, North Carolina and PRIVATE CLIENT SERVICES, LLC located in Raleigh, North Carolina.

Ervin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Ervin has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Ervin Randolph Millwood

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ervin Randolph Millwood III's CRS (Customer Relationship Summary).
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®
AIF®

Accredited Investment Fiduciary

CFP®

Certified Financial Planner

Start date: 2008

CIMA®

Certified Investment Management Analyst

Experience

Current

May 13, 2022 - Present

GUARDIAN WEALTH ADVISORS, LLC

Office #1: 2413 Blue Ridge Rd Suite 201, Raleigh, NC 27607
RIA
CRD#: 305412
RALEIGH, NC
Current

May 18, 2022 - Present

PRIVATE CLIENT SERVICES, LLC

Office #1: 2413 Blue Ridge Road, Suite 201, Raleigh, NC 27607
RIA
BD
CRD#: 120222
Raleigh, NC
Past

January 8, 2019 - May 11, 2022

APTUS CAPITAL ADVISORS, LLC

RIA
CRD#: 167626
RALEIGH, NC
Past

September 17, 2015 - May 19, 2022

TRIAD ADVISORS LLC

BD
CRD#: 25803
Raleigh, NC
Past

December 9, 2011 - September 1, 2015

MOLONEY SECURITIES CO., INC.

BD
CRD#: 38535
DURHAM, NC
Past

March 27, 2008 - December 15, 2011

CW SECURITIES, LLC

BD
CRD#: 124496
KNOXVILLE, TN
Past

January 30, 2006 - August 6, 2007

A. G. EDWARDS & SONS, INC.

RIA
CRD#: 4
SHALOTTE, NC
Past

January 17, 2006 - August 6, 2007

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
SHALOTTE, NC

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".
GW
GUARDIAN WEALTH ADVISORS, LLC
BLUE LINE INVESTING | VALLEY PEAK FINANCIAL | SILO WEALTH | LSG INVESTMENT GROUP | INGRAM FINANCIAL | ID WEALTH | GWP HOLDINGS, LLC | GUARDIAN WEALTH PARTNERS | GUARDIAN WEALTH ADVISORS, LLC | GATHER WEALTH | FINANCE ROADMAP PLANNING | DUNHAM & DEITEL WEALTH MANAGEMENT | CORNERSTONE WEALTH CONSULTING SERVICES LLC | CENTERPOINT FINANCIAL GROUP, INC.

CRD#: 305412 / SEC#: 801-118121

RIA
Registered Investment Advisory firm - (2/24/2020 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
Arizona
(5/18/2022)
RR
Florida
(8/24/2022)
RR
Georgia
(5/18/2022)
IAR
North Carolina
(5/13/2022)
RR
North Carolina
(5/19/2022)
RR
South Carolina
(5/18/2022)
RR
Tennessee
(5/18/2022)
RR
Virginia
(5/18/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/27/2006
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/16/2006
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

GW
GUARDIAN WEALTH ADVISORS, LLC
BLUE LINE INVESTING | VALLEY PEAK FINANCIAL | SILO WEALTH | LSG INVESTMENT GROUP | INGRAM FINANCIAL | ID WEALTH | GWP HOLDINGS, LLC | GUARDIAN WEALTH PARTNERS | GUARDIAN WEALTH ADVISORS, LLC | GATHER WEALTH | FINANCE ROADMAP PLANNING | DUNHAM & DEITEL WEALTH MANAGEMENT | CORNERSTONE WEALTH CONSULTING SERVICES LLC | CENTERPOINT FINANCIAL GROUP, INC.

CRD#: 305412 / SEC#: 801-118121

RIA
Registered Investment Advisory firm - (2/24/2020 Approved)
PREMIUM
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Contact information

Main Address
4270 The Circle At North Hills Street Suite 200, Raleigh, NC 27609
Mailing Address
Phone number
(919) 874-1900
Established
Firm type
Fiscal year end
# of Employees
43

SEC notice filing (18 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

GWA FORM ADV PART 2A (3/27/2025)

Regulatory assets under management

Total Number of Accounts1,683
AUM (Assets Under Management)$ 2,051,517,525

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.

Company Information

GUARDIAN WEALTH ADVISORS, LLC

CRD#: 305412Raleigh, NC 27607

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