Mildred E. Hall
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.
Mildred Elaine Hall, CFP® was a registered financial professional .
Mildred is a previously registered financial professional and started their career in finance in 1986. Mildred had worked at 5 firms and has passed the Series 63, SIE 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
July 9, 2012 - November 16, 2018
CAPITAL ANALYSTS
June 6, 2012 - December 31, 2012
LINCOLN INVESTMENT
June 1, 2012 - November 16, 2018
LINCOLN INVESTMENT
October 25, 2005 - June 27, 2012
CINCINNATI ANALYSTS, INC.
July 17, 1992 - June 1, 2012
CINCINNATI ANALYSTS, INC.
February 15, 1991 - December 27, 1991
PRUDENTIAL EQUITY GROUP, LLC
January 10, 1989 - February 22, 1991
CINCINNATI ANALYSTS, INC.
June 9, 1986 - October 24, 1988
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
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
CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,578 |
| AUM (Assets Under Management) | $ 8,713,202,466 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/28/2024 | ||
| 09/27/2023 | ||
| 03/29/2023 |
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.
