William D. Milkes
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 David Milkes, who also goes by Bill Milkes, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1978. William had worked at 10 firms and has passed the Series 65, Series 63, Series 31, Series 7, Series 4 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 21, 2007 - June 10, 2013
FELTL & COMPANY
November 3, 2006 - February 16, 2007
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.
July 25, 1995 - November 3, 2006
MILLER JOHNSON STEICHEN KINNARD, INC.
October 22, 1994 - July 25, 1995
JOHN G. KINNARD AND COMPANY, INCORPORATED
March 24, 1988 - October 11, 1994
HAYNE, MILLER FINANCIAL, INC.
December 3, 1987 - March 29, 1988
COLLIERS SECURITIES LLC
June 17, 1987 - January 12, 1988
TWIN CITY SECURITIES, INC.
July 24, 1981 - June 23, 1987
CRAIG-HALLUM, INC.
May 5, 1980 - July 17, 1981
A. G. EDWARDS & SONS, INC.
July 3, 1978 - June 2, 1980
ALSTEAD, DEMPSEY & COMPANY, INCORPORATED
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 40
Date: 7/27/1978
Registered Principal ExaminationCurrent Firm
FELTL & COMPANY
CRD#: 6905 / SEC#: 801-68779, 8-18435
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
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.
