Mark S. Mills
Professional summary
Mark Steven Mills was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Mark Steven Mills was a registered financial advisor .
Mark is a previously registered financial advisor and started their career in finance in 1994. Mark had worked at 9 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 25, 2010 - December 31, 2010
MQ CAPITAL INVESTMENT ADVISORS, L.P.
April 30, 2008 - May 28, 2010
EVOLVE SECURITIES, INC.
November 2, 2006 - April 30, 2008
AFS BROKERAGE, INC.
September 26, 2006 - November 6, 2006
SOUTHWEST TEXAS CAPITAL, L.L.C
September 26, 2006 - December 31, 2009
MQ CAPITAL INVESTMENT ADVISORS, L.P.
September 22, 2005 - November 6, 2006
SOUTHWEST TEXAS CAPITAL, L.L.C
April 19, 2005 - September 29, 2005
RBC CAPITAL MARKETS, LLC
March 2, 1998 - September 29, 2005
RBC CAPITAL MARKETS, LLC
January 2, 1998 - March 2, 1998
DAIN RAUSCHER INCORPORATED
August 24, 1995 - January 2, 1998
RAUSCHER PIERCE REFSNES, INC.
July 6, 1995 - September 12, 1995
H.J. MEYERS & CO., INC.
February 16, 1994 - May 25, 1995
PRUDENTIAL EQUITY GROUP, LLC
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
No current employment
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.
