Steven G. 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.
Steven Gary Mills, who also goes by Steven Mason, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1992. Steven had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 19, 2013 - November 18, 2014
SOUTHEAST INVESTMENTS, N.C., INC.
September 17, 2013 - September 27, 2024
SOUTHEAST INVESTMENTS, N.C., INC.
August 6, 2002 - August 19, 2013
WALL STREET FINANCIAL GROUP, INC.
March 23, 2001 - August 19, 2013
WALL STREET FINANCIAL GROUP, INC.
May 31, 2000 - March 21, 2001
EQUITABLE ADVISORS, LLC
July 21, 1998 - October 19, 1999
OSAIC WEALTH, INC.
January 17, 1995 - April 8, 1998
WELLS FARGO SECURITIES INC.
November 3, 1992 - March 5, 1994
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.
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
SOUTHEAST INVESTMENTS, N.C., INC.
CRD#: 43035 / SEC#: , 8-50127
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 3 |
| Arbitration | 3 |
Red Flags
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