Kurtis A. Millikin

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CRD#: 1616951

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.

Kurtis Alan Millikin, who also goes by Kurt Millikin, Kurtis Millikin, was a registered financial professional .

Kurtis is a previously registered financial professional and started their career in finance in 1987. Kurtis had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 3 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Kurt Millikin | Kurtis Millikin

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

December 5, 2012 - February 12, 2018

LAKESIDE ADVISORS INC

RIA

CRD#: 104540

SEATTLE, WA

Past

September 19, 2012 - February 12, 2018

KMS FINANCIAL SERVICES, INC.

RIA

CRD#: 3866

SEATTLE, WA

Past

February 1, 2005 - February 12, 2018

KMS FINANCIAL SERVICES, INC.

CRD#: 3866

SEATTLE, WA

Past

December 19, 1994 - February 2, 2005

ROUND HILL SECURITIES, INC.

CRD#: 35223

ALAMO, CA

Past

December 6, 1993 - January 13, 1995

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

September 4, 1990 - November 16, 1993

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

March 25, 1988 - September 4, 1990

BATEMAN EICHLER, HILL RICHARDS, INCORPORATED

CRD#: 76

Past

March 24, 1987 - May 2, 1988

DREXEL BURNHAM LAMBERT INCORPORATED

CRD#: 7323

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".

LAKESIDE ADVISORS INC

CRD#: 104540 / SEC#: 801-21230

RIA

Registered Investment Advisory firm - (5/10/1984 Approved)

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.

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: 9/18/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/14/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 2/12/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/21/1987

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 2/12/1987

National Commodity Futures Examination

Principal/Supervisory Exam

Series 24

Date: 1/27/1997

General Securities Principal Examination

Current Firm

LAKESIDE ADVISORS INC

CRD#: 104540 / SEC#: 801-21230

RIA

Registered Investment Advisory firm - (5/10/1984 Approved)

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Contact information

Main Address

1115 East Denny Way, Seattle, WA 98122-2427

Mailing Address

Phone number

(206) 285-1730

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ANNUAL ADV PART 2 AMENDMENT (4/17/2025)

Regulatory assets under management

Total Number of Accounts	536
AUM (Assets Under Management)	$ 385,273,146

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

Kurtis A. Millikin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

KMS FINANCIAL SERVICES, INC.

KMS FINANCIAL SERVICES, INC.

ROUND HILL SECURITIES, INC.

CITIGROUP GLOBAL MARKETS INC.

WELLS FARGO CLEARING SERVICES, LLC

BATEMAN EICHLER, HILL RICHARDS, INCORPORATED

DREXEL BURNHAM LAMBERT INCORPORATED

Primary Firm SEC Registration

LAKESIDE ADVISORS INC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/18/2012

Series 63

Date: 1/14/1987

SIE

Date: 2/12/2018

Series 7

Date: 3/21/1987

Series 3

Date: 2/12/1987

Series 24

Date: 1/27/1997

Current Firm

LAKESIDE ADVISORS INC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LAKESIDE ADVISORS INC

TRUST BUT VERIFY

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