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Darren J. Mills

Some features on this profile are disabled
CRD#: 1865577
DM

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.

Darren John Mills, who also goes by Darren John Mills, Darren J Mills, was a registered financial professional .

Darren is a previously registered financial professional and started their career in finance in 1992. Darren had worked at 12 firms and has passed the Series 66, Series 63, Series 65, Series 7TO, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Darren John Mills | Darren J 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

September 24, 2020 - February 2, 2021

VERITY INVESTMENTS, INC.

BD
CRD#: 41527
DURHAM, NC
Past

October 24, 2019 - March 12, 2020

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
Wall Township, NJ
Past

October 18, 2019 - March 12, 2020

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
Wall Township, NJ
Past

June 3, 2016 - January 12, 2017

MILLS TAX & WEALTH MANAGEMENT LLC

RIA
CRD#: 283299
LITTLE SILVER, NJ
Past

September 22, 2014 - June 3, 2015

BUCKMAN, BUCKMAN & REID, INC.

BD
CRD#: 23407
LITTLE SILVER, NJ
Past

August 13, 2012 - January 24, 2013

AVANTAX INVESTMENT SERVICES, INC.

BD
CRD#: 13686
FANWOOD, NJ
Past

August 2, 2012 - January 24, 2013

AVANTAX ADVISORY SERVICES

RIA
CRD#: 104556
FALLS CHURCH, VA
Past

July 1, 2010 - May 19, 2011

LPL FINANCIAL LLC

RIA
CRD#: 6413
SUMMIT, NJ
Past

July 1, 2010 - May 19, 2011

LPL FINANCIAL LLC

BD
CRD#: 6413
SUMMIT, NJ
Past

August 4, 2009 - July 12, 2010

CETERA FINANCIAL SPECIALISTS LLC

BD
CRD#: 10358
SCOTCH PLAINS, NJ
Past

June 30, 2009 - July 12, 2010

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
SCOTCH PLAINS, NJ
Past

September 15, 1994 - January 27, 1997

GUARDIAN INVESTOR SERVICES LLC

BD
CRD#: 6635
NEW YORK, NY
Past

August 26, 1992 - January 1, 1993

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

August 26, 1992 - January 1, 1993

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA

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
IAR
Series 66
Date: 7/27/2019
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 10/4/2010
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 5/23/2009
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 10/18/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/14/2019
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/3/2009
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/25/1992
Investment Company Products/Variable Contracts Representative Examination

Current Firm

VI
VERITY INVESTMENTS, INC.
BROKERAGE360 | VERITY INVESTMENTS, INC.

CRD#: 41527 / SEC#: , 8-49474

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

Main Address
280 S Mangum St Ste 550, Durham, NC 27701-3683
Mailing Address
280 S Mangum St Ste 550, Durham, NC 27701-3683
Phone number
(919) 490-6717
Established
North Carolina since 06/27/2011
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (25 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#
VERITY FINANCIAL GROUP, INC.PARENT COMPANY
MUNSEY, JEFF ALANVICE PRESIDENT2777033
SIMONSON, AMY LOUISEVICE PRESIDENT/ PRINCIPAL FINANCIAL OFFICER / PRINCIPAL OPERATIONS OFFICER2326511
WEGWART, GORDON THOMASPRESIDENT/EXECUTIVE REP/CHIEF COMPLIANCE OFFICER1108685

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

VERITY INVESTMENTS, INC.

CRD#: 41527

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