John Lawrence Mills III | Financial Professional | Atlanta, Georgia | ROYAL FUND MANAGEMENT, LLC

Professional summary

John Lawrence Mills III, who also goes by John L Mills, is a registered financial advisor currently at ROYAL FUND MANAGEMENT, LLC located in Atlanta, Georgia.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. John has worked at 9 firms and has passed the Series 65, Series 66, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John L 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.

OWNER-TAX CENTERS OF GEORGIA, TAX PREPARATION & PLANNING, SEASONAL-OFF SEASON 10 HRS/WEEK COMPANY: IRA DISTRIBUTION SOLUTIONS NON-INVESTMENT RELATED POSITION: SALES START DATE: 02/2009 - PRESENT ADDRESS: 5456 PEACHTREE INDUSTRIAL BLVD., SUITE 216, ATLANTA, GA 30341 HRS/MONTH: APPROX. 160 COMPANY: TAX CENTERS OF GEORGIA NON-INVESTMENT RELATED POSITION: DIRECTOR DATES: 09/2010 - PRESENT ADDRESS: 400 PERIMETER CENTER TERRACE SUITE 900, ATLANTA, GA 30346 DUTIES: I WILL OPEN A TAX OFFICE BUT NOT PERSONALLY DO ACCOUNTING OR PREPARATION MYSELF. TAX CENTERS OF GEORGIA WILL PARTICIPATE IN THE TRANSMISSION OF THE TAX RETURN DOCUMENTS TO A PROPRITARY NATIONWIDE NETWORK OF PROFESSIONAL CPA'S. HRS/MONTH: APPROXIMATELY 32 HRS/MONTH FROM MAY TO DECEMBER AND APPROXIMATELY 128 HRS/MONTH FROM JANUARY TO APRIL

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Lawrence Mills III's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

February 5, 2014 - Present

ROYAL FUND MANAGEMENT, LLC

Office #1: 5555 Glenridge Connector Suite 825, Atlanta, GA 30342

RIA

CRD#: 144434

Atlanta, GA

Past

May 18, 2010 - January 19, 2011

REDHAWK WEALTH ADVISORS, INC.

RIA

CRD#: 146616

ATLANTA, GA

Past

August 20, 2008 - February 13, 2009

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

ATLANTA, GA

Past

May 21, 2008 - February 13, 2009

MML INVESTORS SERVICES, LLC

BD

CRD#: 10409

ATLANTA, GA

Past

January 16, 1997 - April 30, 1997

SENTRY EQUITY SERVICES, INC.

BD

CRD#: 5069

STEVENS POINT, WI

Past

July 7, 1993 - November 9, 1996

WALNUT STREET SECURITIES, INC.

BD

CRD#: 15840

EL SEGUNDO, CA

Past

November 27, 1990 - July 19, 1993

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD

CRD#: 6694

ST. PETERSBURG, FL

Past

November 1, 1990 - December 4, 1990

NORTH AMERICAN MANAGEMENT, INC.

BD

CRD#: 624

SIOUX FALLS, SD

Past

September 18, 1989 - November 6, 1990

PFS INVESTMENTS INC.

BD

CRD#: 10111

DULUTH, GA

Past

January 23, 1985 - September 25, 1989

ANGELES SECURITIES CORPORATION

BD

CRD#: 8083

LOS ANGELES, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

RF

ROYAL FUND MANAGEMENT, LLC

CRD#: 144434 / SEC#: 801-77918

RIA

Registered Investment Advisory firm - (4/10/2013 Approved)

Florida

Registered Investment Advisory firm - (8/26/2013 Terminated)

Kentucky

Registered Investment Advisory firm - (8/27/2013 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Georgia
(2/5/2014)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/3/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

IAR

Series 66

Date: 7/19/2008

Uniform Combined State Law Examination

State Security Law Exam

RR

Series 63

Date: 2/25/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

Series 7

Date: 5/20/2008

General Securities Representative Examination

Current Firm

RF

ROYAL FUND MANAGEMENT, LLC

CRD#: 144434 / SEC#: 801-77918

RIA

Registered Investment Advisory firm - (4/10/2013 Approved)

Florida

Registered Investment Advisory firm - (8/26/2013 Terminated)

Kentucky

Registered Investment Advisory firm - (8/27/2013 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

1515 Buenos Aires Blvd, Lady Lake, FL 32159

Mailing Address

Phone number

(352) 750-1637

Established

Firm type

Fiscal year end

# of Employees

93

SEC notice filing (44 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ROYAL FUND MANAGEMENT, LLC ADV BROCHURE_SCHWAB (3/24/2025)

Regulatory assets under management

Total Number of Accounts	10,143
AUM (Assets Under Management)	$ 1,307,115,289

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.

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Advisor Monitoring

Firm Stability Insights

John L. Mills

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Lawrence Mills III's CRS (Customer Relationship Summary).

Certified licenses

Experience

REDHAWK WEALTH ADVISORS, INC.

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

SENTRY EQUITY SERVICES, INC.

WALNUT STREET SECURITIES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

NORTH AMERICAN MANAGEMENT, INC.

PFS INVESTMENTS INC.

ANGELES SECURITIES CORPORATION

Primary Firm SEC Registration

ROYAL FUND MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/3/2014

Series 66

Date: 7/19/2008

Series 63

Date: 2/25/1985

Series 7

Date: 5/20/2008

Current Firm

ROYAL FUND MANAGEMENT, LLC

Contact information

SEC notice filing (44 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ROYAL FUND MANAGEMENT, LLC

TRUST BUT VERIFY

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