Wayne W. Mills
Professional summary
Wayne William Mills was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Wayne is a previously registered financial professional and started their career in finance in 1982. Prior to being barred, Wayne had worked at 6 firms, which includes MILLER JOHNSON STEICHEN KINNARD INC., CRAIG-HALLUM INC., OBERWEIS SECURITIES INC., ENGLER-BUDD & COMPANY INC., PRUDENTIAL EQUITY GROUP LLC, E. F. HUTTON & COMPANY INC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 3, 1991 - September 20, 1999
MILLER JOHNSON STEICHEN KINNARD, INC.
November 11, 1988 - June 26, 1991
CRAIG-HALLUM, INC.
February 1, 1988 - December 6, 1988
OBERWEIS SECURITIES, INC.
January 15, 1986 - February 1, 1988
ENGLER-BUDD & COMPANY INC.
January 13, 1984 - February 20, 1986
PRUDENTIAL EQUITY GROUP, LLC
July 22, 1982 - January 6, 1984
E. F. HUTTON & COMPANY INC
State Registrations and Notice Filings
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Exams
Current Firm
MILLER JOHNSON STEICHEN KINNARD, INC.
CRD#: 694 / SEC#: , 8-1303
Contact information
Documents
Disclosures
| Regulatory Event | 19 |
| Arbitration | 8 |
Red Flags
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