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SM

Stuart J. Mills

Some features on this profile are disabled
CRD#: 1296985
SM

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.

Stuart Jenningsdoyle Mills, who also goes by Stu Mills, Stuart Jennings Doyle Mills, was a registered financial professional .

Stuart is a previously registered financial professional and started their career in finance in 1984. Stuart had worked at 7 firms and has passed the Series 63, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Stu Mills | Stuart Jennings Doyle Mills

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

February 7, 1992 - March 16, 1992

PACIFIC SOUTHERN SECURITIES, INC.

BD
CRD#: 13155
Past

May 21, 1990 - January 29, 1992

FIRST CHOICE SECURITIES CORP.

BD
CRD#: 17021
Past

March 9, 1989 - May 25, 1990

MALONE & ASSOCIATES, INC.

BD
CRD#: 10412
Past

September 14, 1988 - April 6, 1989

PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC.

BD
CRD#: 13741
Past

September 2, 1987 - September 19, 1988

MALONE & ASSOCIATES, INC.

BD
CRD#: 10412
Past

May 17, 1986 - September 24, 1987

BROOKS WEINGER ROBBINS & LEEDS INC.

BD
CRD#: 14156
Past

July 24, 1985 - December 6, 1985

GENERAL AMERICAN SECURITIES, INC.

BD
CRD#: 10668
Past

May 22, 1985 - July 30, 1985

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
Past

January 14, 1985 - June 5, 1985

MALONE & ASSOCIATES, INC.

BD
CRD#: 10412
Past

September 24, 1984 - January 28, 1985

BROOKS WEINGER ROBBINS & LEEDS INC.

BD
CRD#: 14156

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
RR
Series 63
Date: 5/31/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 9/15/1984
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/6/1989
General Securities Principal Examination

Current Firm

PS
PACIFIC SOUTHERN SECURITIES, INC.
FIRST INTERSTATE SECURITIES, INC. | PACIFIC SOUTHERN SECURITIES, INC. | PACIFIC RIM SECURITIES, INC. | G.N.E. SECURITIES COMPANY, INC.

CRD#: 13155 / SEC#: , 8-28865

BD
Cancelled by SEC on 05/05/1993
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Contact information

Main Address
Mailing Address
Phone number
Established
Colorado since 01/29/1982
Firm type
Corporation
Fiscal year end
June
# of Employees

Documents

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

PACIFIC SOUTHERN SECURITIES, INC.

CRD#: 13155

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