Keith A. 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.
Keith Allen Mills was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 1983. Keith had worked at 14 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 10, 2012 - September 28, 2012
DAWSON JAMES SECURITIES, INC.
August 1, 2011 - October 16, 2012
WESTPARK CAPITAL, INC.
March 6, 1998 - July 10, 1998
BARBER & BRONSON INCORPORATED
January 17, 1997 - March 10, 1998
THE HAMILTON-SHEA GROUP, INC.
October 4, 1995 - February 7, 1997
MESIROW FINANCIAL, INC.
September 2, 1994 - October 6, 1995
ADVEST, INC.
March 24, 1994 - August 30, 1994
D. BLECH & COMPANY, INCORPORATED
October 5, 1992 - January 28, 1994
RAYMOND JAMES & ASSOCIATES, INC.
April 10, 1990 - October 15, 1992
MORGAN STANLEY DW INC.
December 8, 1989 - May 4, 1990
LEHMAN BROTHERS INC.
June 12, 1989 - December 19, 1989
MORGAN STANLEY DW INC.
May 23, 1988 - June 21, 1989
PRUDENTIAL EQUITY GROUP, LLC
July 10, 1985 - May 24, 1988
A. G. EDWARDS & SONS, INC.
September 6, 1984 - September 3, 1985
SUTRO & CO. INCORPORATED
October 20, 1983 - September 21, 1984
M.L. STERN & CO., 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
Current Firm
DAWSON JAMES SECURITIES, INC.
CRD#: 130645 / SEC#: , 8-66367
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 12 |
| Civil Event | 1 |
| Arbitration | 3 |
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.
