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MM

Mark W. Mills

Some features on this profile are disabled
CRD#: 1277647
MM

Professional summary

Mark Wayne Mills was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Mark is a previously registered financial advisor and started their career in finance in 1984. Prior to being barred, Mark had worked at 12 firms, which includes WESTMINSTER FINANCIAL SECURITIES INC., WATERSTONE FINANCIAL GROUP INC., ONEAMERICA SECURITIES INC., NEW ENGLAND SECURITIES, SAGE DISTRIBUTORS INC., AMERITAS INVESTMENT COMPANY LLC, CETERA WEALTH SERVICES LLC, LPL FINANCIAL LLC, WALL STREET ACCESS, UNITED PACIFIC FINANCIAL SERVICES INC., MARKETING ONE SECURITIES INC., PRINCIPAL SECURITIES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 14, 2008 - December 15, 2008

WESTMINSTER FINANCIAL SECURITIES, INC.

BD
CRD#: 20677
INDIANAPOLIS, IN
Past

August 15, 2006 - May 16, 2008

WATERSTONE FINANCIAL GROUP, INC.

BD
CRD#: 10078
CARMEL, IN
Past

January 2, 2003 - August 14, 2006

WESTMINSTER FINANCIAL SECURITIES, INC.

BD
CRD#: 20677
INDIANAPOLIS, IN
Past

August 20, 2002 - January 7, 2003

ONEAMERICA SECURITIES, INC.

RIA
CRD#: 4173
INDIANAPOLIS, IN
Past

March 19, 2002 - January 7, 2003

ONEAMERICA SECURITIES, INC.

BD
CRD#: 4173
INDIANAPOLIS, IN
Past

January 16, 2002 - March 19, 2002

NEW ENGLAND SECURITIES

BD
CRD#: 615
NEW YORK, NY
Past

January 12, 2001 - November 9, 2001

SAGE DISTRIBUTORS, INC.

BD
CRD#: 44831
STAMFORD, CT
Past

January 16, 1998 - December 31, 2000

AMERITAS INVESTMENT COMPANY, LLC

BD
CRD#: 14869
LINCOLN, NE
Past

July 17, 1997 - December 4, 1997

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
EL SEGUNDO, CA
Past

January 3, 1995 - July 17, 1997

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

June 1, 1992 - December 31, 1994

WALL STREET ACCESS

BD
CRD#: 10012
NEW YORK, NY
Past

October 19, 1990 - June 1, 1992

UNITED PACIFIC FINANCIAL SERVICES, INC.

BD
CRD#: 21632
Past

July 25, 1988 - October 19, 1990

MARKETING ONE SECURITIES, INC.

BD
CRD#: 16611
PORTLAND, OR
Past

July 18, 1984 - July 13, 1988

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 7/30/2002
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/17/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 2/14/1996
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/17/1984
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/3/1996
General Securities Principal Examination

Current Firm

WF
WESTMINSTER FINANCIAL SECURITIES, INC.
BRAZIE & COMPANY, INC. | WESTMINSTER FINANCIAL SECURITIES, INC. | BRAZIE FINANCIAL SERVICES, INC. | BRAZIE FINANCIAL SECURITIES, INC.

CRD#: 20677 / SEC#: , 8-38426

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
50 Chestnut Street Suite A-200, Beavercreek, OH 45440
Mailing Address
50 Chestnut Street Suite A-200, Beavercreek, OH 45440
Phone number
(937) 898-5010
Established
Ohio since 07/23/1987
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
WESTMINSTER FINANCIAL COMPANIES, INC.HOLDING COMPANY
STAGER, KIRK WILSONCEO2785614
STAGER, KIRK WILSONPRESIDENT2785614
SWEENEY, ANGELA C.FINOP,CFO4036900
TRUNCK, JESSICA MARIECHIEF COMPLIANCE OFFICER4561886

Disclosures

Regulatory Event3
Arbitration1

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.

Company Information

WESTMINSTER FINANCIAL SECURITIES, INC.

CRD#: 20677

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