Cooper N. Mills
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.
Cooper Newton Mills JR, who also goes by Chip Mills, Cooper Newton Jr Mills, was a registered financial professional .
Cooper is a previously registered financial professional and started their career in finance in 1983. Cooper had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 1, 2019 - January 12, 2021
CITIZENS CAPITAL MARKETS
November 23, 2009 - March 19, 2019
BOWSTRING ADVISORS, LLC
July 27, 2001 - February 13, 2009
TRUIST SECURITIES, INC.
August 9, 1993 - July 27, 2001
THE ROBINSON-HUMPHREY COMPANY, LLC
December 21, 1983 - December 19, 1985
ROTAN MOSLE INC.
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
CITIZENS CAPITAL MARKETS
CRD#: 277073 / SEC#: , 8-69651
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITIZENS FINANCIAL GROUP, INC. | SHAREHOLDER | |
| HORN, WILLIAM CANNIFF III | POO | 2234778 |
| JACKSON, RAYMOND SIVA | CHIEF FINANCIAL OFFICER | 5563363 |
| KOSINSKI, THOMAS JAMES | FINOP, PFO | 6712417 |
| MCCREE, DONALD H III | CHAIRMAN | 2316064 |
| MCLAUGHLIN, BRENDAN M. | CHIEF COMPLIANCE OFFICER | 2562815 |
| SWIMMER, THEODORE C | CHIEF EXECUTIVE OFFICER | 2661662 |
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.
