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Brian Thomas Mills

Brian Thomas Mills

CFP®
CETERA INVESTMENT ADVISERS
DUBLIN, OH
·CRD# 2071799·32 years experience

Professional Summary

Brian Thomas Mills, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Dublin, Ohio and CETERA ADVISORS LLC located in Dublin, Ohio. Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Brian has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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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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Credentials

CFP®
Certified Financial PlannerSince 1992

Years of Experience

32 years in the financial services industry

Current & Past Employments

CETERA INVESTMENT ADVISERS LLC·CRD# 105644
RIA
5910 Wilcox Place Suite F, Dublin, OH 43016
March 21, 2024 - Present
CETERA ADVISORS LLC·CRD# 10299
BD
5910 Wilcox Place Suite F, Dublin, OH 43016
November 18, 2010 - Present
CETERA ADVISORS LLC·CRD# 10299
RIA
Greenwood Village, IL
November 19, 2010 - March 21, 2024
LPL FINANCIAL LLC·CRD# 6413
RIA
Dublin, OH
October 18, 1999 - November 23, 2010
MILLS FINANCIAL PLANNING, INC.·CRD# 119797
RIA
Hilliard, OH
August 9, 1999 - December 31, 2004
LPL FINANCIAL LLC·CRD# 6413
BD
Dublin, OH
July 17, 1998 - November 23, 2010
OSAIC WEALTH, INC.·CRD# 23131
BD
Scottsdale, AZ
January 12, 1994 - August 3, 1998

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Current Firm

CI
CETERA INVESTMENT ADVISERS LLC

CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS

CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - SEC (1/13/1984 Approved)

Contact Information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Phone Number

(310) 257-7880

# of Employees

10,251

SEC notice filing (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory Assets Under Management

Total Number of Accounts

813,961

AUM (Assets Under Management)

$256,813,748,739

Accountant Surprise Examination Report

Filing DateForm ADV-E CoverForm ADV-E Report
09/25/2026Cover PageReport
10/27/2025Cover PageReport
12/13/2024Cover PageReport
09/26/2023Cover PageReport

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

1. NAME OF OTHER BUSINESS: MILLS FINANCIAL PLANNING, INC. INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: DBA FOR INVESTMENT SERVICES & FINANCIAL PLANNING START DATE: 9/1998 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF TRADING HOURS PER WEEK: 32.5 POSITION/TITLE/RELATIONSHIP: PRESIDENT BRIEF DESCRIPTION OF DUTIES: 50% OWNER 2.FRANKLIN UNIVERSITY, NOT INVESTMENT RELATED, 201 S GRAND AVE, COLUMBUS, OH 43215, EDUCATIONAL, STARTED 04/2016, INSTRUCTOR, APX 6HOURS PER WEEK, MAY BE DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: ADJUNCT INSTRUCTOR 3. NAME OF OTHER BUSINESS: BRIAN T. MILLS; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: EBAY SALES; START DATE: 8/2022; POSITION/TITLE/RELATIONSHIP:; APX NUMBER OF HOURS PER WEEK: VARIES ; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES ; BRIEF DESCRIPTION OF DUTIES: SALE OF PERSONAL AND PURCHASED GOODS FOR RESALE ON EBAY WEBSITE;

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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".
CI
CETERA INVESTMENT ADVISERS LLC

CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS

CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - SEC (1/13/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
Alaska
(10/25/2018)
RR
District of Columbia
(1/5/2022)
RR
Florida
(11/18/2010)
RR
Illinois
(8/1/2023)
RR
Indiana
(11/18/2010)
RR
Louisiana
(5/18/2015)
RR
Maryland
(11/19/2025)
RR
Michigan
(4/4/2023)
RR
Missouri
(12/26/2017)
RR
New York
(1/9/2023)
RR
Ohio
(11/18/2010)
IAR
Ohio
(3/21/2024)
RR
Pennsylvania
(11/18/2010)
RR
South Carolina
(6/2/2022)
RR
Texas
(11/13/2015)
IAR
Texas
(3/21/2024)

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.Note:This rule does not apply to broker-dealer activity.

Exams

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

Series 63 — Uniform Securities Agent State Law Examination

Passed Jan 1994About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Dec 1999About the Series 7 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Jan 1994About the Series 6 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - RIA

Click below to view Brian Thomas Mills's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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Brian Thomas Mills
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