Garry L. Millard
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.
Garry Lee Millard, who also goes by Garry L Millard, Garry L. Millard, was a registered financial professional .
Garry is a previously registered financial professional and started their career in finance in 2008. Garry had worked at 4 firms and has passed the Series 65, Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 8, 2016 - January 9, 2017
AE WEALTH MANAGEMENT, LLC
May 10, 2012 - September 20, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 19, 2012 - September 20, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 9, 2009 - April 10, 2012
SIGNATOR INVESTORS, INC.
June 23, 2008 - January 2, 2009
MORGAN STANLEY & CO. LLC
April 29, 2008 - January 2, 2009
MORGAN STANLEY & CO. LLC
Primary Firm SEC Registration
AE WEALTH MANAGEMENT, LLC
CRD#: 282580 / SEC#: 801-107319
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
Current Firm
AE WEALTH MANAGEMENT, LLC
CRD#: 282580 / SEC#: 801-107319
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 111,059 |
| AUM (Assets Under Management) | $ 37,525,706,084 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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