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William Roger Branch

Description

William Branch a financial professional at Millennium Investment and Retirement Advisors, LLC, a $147M dollar RIA based in McAlpine, NC. William has held an industry securities registration for 6 years and is subject to SEC oversight.

BrightScope Advisor Metrics

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Answers and Guides

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0 Answers and 0 Financial Guides

Top Answers

William Roger Branch has not answered any questions on Financial Q&A.

Top Guides

William Roger Branch has not contributed any Financial Guides on Financial Q&A.
*Answers and guides are provided without compensation.

Firm Client Types

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ownership pie chart
Individuals
Pension and Profit Sharing Plans

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

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Employer Years Dates
Presidium 4 years, 2 months Mar 2009 - Present
Millennium Investment and Retirement Advisors, LLC 4 years, 5 months Dec 2008 - Present
Fiduciary Advisors, LLC (Fidelis Financial Planning,Llc) 8 months Apr 2008 - Dec 2008
Thrivent Financial for Lutherans 1 year, 11 months May 2006 - Apr 2008
Lipper Inc. 9 years, 8 months Aug 1996 - Apr 2006
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 11/29/2010, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

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Regulator
SEC
FINRA
License Status
Registered
Not registered
Disclosures

No Disclosures Found

No Disclosures Found
As of Date
11/29/2010
11/29/2010
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

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Exam Series Passed Date
Uniform Combined State Law Examination Series 66 04/24/2006
General Securities Representative Examination Series 7 02/04/2006

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees