James A. Mills
Professional summary
James Allen Mills JR, CFP®, who also goes by Jim Mills Jr, is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Norfolk, Virginia and TRUIST INVESTMENT SERVICES, INC. located in Norfolk, Virginia.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. James has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view James Allen Mills JR's CRS (Customer Relationship Summary).
Certified licenses
Start date: 1998
Experience
September 19, 2016 - Present
TRUIST ADVISORY SERVICES, INC.
Office #1: 150 W Main St Fl 14, Norfolk, VA 23510May 26, 2000 - Present
TRUIST INVESTMENT SERVICES, INC.
Office #1: 150 W Main St Ste 1400, Norfolk, VA 23510May 24, 2002 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
February 18, 1994 - May 26, 2000
CRESTAR SECURITIES CORPORATION
October 11, 1992 - November 5, 1993
AMERIPRISE ADVISOR SERVICES, INC.
May 8, 1991 - October 19, 1992
CHARLES SCHWAB & CO., INC.
May 22, 1990 - April 22, 1991
F.N. WOLF & CO., INC.
Primary Firm SEC Registration
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/30/2012)
(7/14/2021)
(1/15/2008)
(10/6/2006)
(4/21/2020)
(9/26/2022)
(5/26/2000)
(5/24/2006)
(10/6/2020)
(5/3/2001)
(6/30/2022)
(10/4/2012)
(12/10/2018)
(9/8/2017)
(5/26/2000)
(3/15/2013)
(7/7/2023)
(3/5/2024)
(5/26/2000)
(8/21/2015)
(4/28/2020)
(5/26/2000)
(5/7/2020)
(8/26/2024)
(12/8/2021)
(5/26/2000)
(5/26/2000)
(3/5/2024)
(8/4/2021)
(3/17/2010)
(2/9/2018)
(2/25/2016)
(10/4/2022)
(5/26/2000)
(9/19/2016)
(7/29/2021)
(7/28/2021)
Exams
Series 8
Date: 9/3/1993
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 124,363 |
| AUM (Assets Under Management) | $ 67,736,740,585 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/24/2025 | ||
| 03/28/2024 | ||
| 04/26/2023 |
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.
Company Information
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390Norfolk, VA 23510TRUST BUT VERIFY
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