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Kenneth Harold Mills Jr

CRD# 2234444·Registered 1992 - 2020
Previously Registered: Being a previously registered professional could mean that Kenneth 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.

Professional Summary

Kenneth Harold Mills JR, who also goes by Ken Mills Jr, was a registered financial advisor. Kenneth was a previously registered financial professional and started their career in finance 1992 - 2020. Kenneth had worked at 2 firms and has passed the Series 65, Series 63, Series 2 and Series 6 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

Ken Mills Jr

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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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

34 years in the financial services industry

Current & Past Employments

RAA·CRD# 108203
RIA
Addison, TX
November 19, 2003 - January 7, 2020
SWBC INVESTMENT COMPANY·CRD# 28861
BD
May 12, 1992 - February 27, 1995

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Current Firm

RA
RAA

MW PRITCHARD HUBBLE & HERR, LLC | RETIREMENT ADVISORS OF AMERICA | RAA | PRITCHARD, HUBBLE & HERR, LLC | PHH INVESTMENTS, LTD.

CRD#: 108203 / SEC#: 801-60003

Contact Information

Main Address

15725 N. Dallas Parkway Suite 220, Addison, TX 75001

Documents

Latest Form ADV

Part 2 Brochures

ADV PART 2A DISCLOSURE BROCHURE (3/6/2019)

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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 May 2001About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed May 1992About the Series 63 exam

Series 2 — Non-Member General Securities Examination

Passed Mar 1995

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Apr 1992About the Series 6 exam

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CRS (Client Relationship Summary)

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

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