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Mark Steven Mills

CRD# 1979733·Registered 1994 - 2010
Suspended: Mark Steven Mills was suspended by the FINRA; they may not be permitted to conduct business during the suspension.

Professional Summary

Mark Steven Mills was a registered financial advisor. Mark was a previously registered financial advisor and started their career in finance 1994 - 2010. Mark had worked at 9 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 24 and Series 4 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

32 years in the financial services industry

Current & Past Employments

MQ CAPITAL INVESTMENT ADVISORS, L.P.·CRD# 140371
RIA
Dallas, TX
January 25, 2010 - December 31, 2010
EVOLVE SECURITIES, INC.·CRD# 127474
BD
Dallas, TX
April 30, 2008 - May 28, 2010
AFS BROKERAGE, INC.·CRD# 25924
BD
Dallas, TX
November 2, 2006 - April 30, 2008
SOUTHWEST TEXAS CAPITAL, L.L.C·CRD# 104200
RIA
Dallas, TX
September 26, 2006 - November 6, 2006
MQ CAPITAL INVESTMENT ADVISORS, L.P.·CRD# 140371
RIA
Dallas, TX
September 26, 2006 - December 31, 2009
SOUTHWEST TEXAS CAPITAL, L.L.C·CRD# 104200
BD
Dallas, TX
September 22, 2005 - November 6, 2006
RBC CAPITAL MARKETS, LLC·CRD# 31194
RIA
Fort Worth, TX
April 19, 2005 - September 29, 2005
RBC CAPITAL MARKETS, LLC·CRD# 31194
BD
New York, NY
March 2, 1998 - September 29, 2005
DAIN RAUSCHER INCORPORATED·CRD# 7600
BD
January 2, 1998 - March 2, 1998
RAUSCHER PIERCE REFSNES, INC.·CRD# 6663
BD
Dallas, TX
August 24, 1995 - January 2, 1998
H.J. MEYERS & CO., INC.·CRD# 15609
BD
Rochester, NY
July 6, 1995 - September 12, 1995
PRUDENTIAL EQUITY GROUP, LLC·CRD# 7471
BD
New York, NY
February 16, 1994 - May 25, 1995

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Current Firm

No current employment

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Feb 1994About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Feb 1994About the Series 63 exam

Series 3 — National Commodity Futures Examination

Passed Feb 1996About the Series 3 exam

Series 7 — General Securities Representative Examination

Passed Feb 1994About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Jan 2006About the Series 24 exam

Series 4 — Registered Options Principal Examination

Passed Nov 2005About the Series 4 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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