James T. Mills
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.
James Thomas Mills JR was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1991. James had worked at 8 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 27, 2014 - August 27, 2019
SANDLAPPER SECURITIES, LLC
September 15, 2009 - June 23, 2014
COLONY PARK FINANCIAL SERVICES LLC.
January 25, 2007 - December 31, 2007
CINCINNATI ANALYSTS, INC.
April 22, 2004 - June 15, 2005
CLARK SECURITIES, INC.
January 6, 2000 - November 15, 2002
AON SECURITIES LLC
April 2, 1997 - December 31, 1999
WESTPORT FINANCIAL SERVICES, L.L.C.
March 1, 1996 - November 8, 1996
MML INVESTORS SERVICES, LLC
September 25, 1991 - March 1, 1996
G. R. PHELPS & CO., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SANDLAPPER SECURITIES, LLC
CRD#: 137906 / SEC#: , 8-67128
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
Red Flags
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