William T. Carrick
Professional summary
William Thomas Carrick, who also goes by William T Carrick, is a registered financial professional currently at MILLENNIUM ADVISORS, LLC located in Charlotte, North Carolina.
William is registered as a RR (Registered Representative) and started their career in finance in 2020. William has worked at 3 firms and has passed the Series 99TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view William Thomas Carrick's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 25, 2025 - Present
MILLENNIUM ADVISORS, LLC
Office #1: 11605 N Community House Dr Suite 550, Charlotte, NC 28277May 27, 2020 - March 18, 2025
NUVEEN SECURITIES, LLC
February 18, 2020 - March 18, 2025
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
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
Series 99TO
Date: 2/18/2020
Operations Professional ExaminationFINRA
Current Firm
MILLENNIUM ADVISORS, LLC
CRD#: 151236 / SEC#: , 8-68349
Contact information
FINRA licenses (10 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MILLENNIUM CONSOLIDATED HOLDINGS LLC | OWNER | |
| BROWN, DOUGLAS BENEDICT | CCO, AML SUPERVISOR | 5063686 |
| CHAPPELLE, DAVID WALTER | MEMBER, GENERAL PRINCIPAL | |
| DEMODNA, JOSEPH CHARLES | PRINCIPAL OPERATIONS OFFICER | 5156407 |
| HEALY, MICHAEL GEORGE | CHIEF EXECUTIVE OFFICER | 3011582 |
| LEE, CHRISTY ROSS | CFO, FINOP, PRINCIPAL FINANCIAL OFFICER | 4926666 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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