John 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.
John Thomas Mills JR, who also goes by Buddy Mills, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1993. John had worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 6 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 8, 2022 - March 5, 2026
BARRAMUNDI CAPITAL LLC
October 10, 2019 - July 23, 2021
FINTRUST CAPITAL ADVISORS, LLC
August 21, 2019 - July 23, 2021
FINTRUST BROKERAGE SERVICES, LLC
August 8, 2017 - December 10, 2018
MATRIX 360 DISTRIBUTORS, LLC
February 21, 2006 - March 15, 2006
CITIGROUP GLOBAL MARKETS INC.
February 21, 2006 - March 15, 2006
CITIGROUP GLOBAL MARKETS INC.
June 9, 2000 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
November 23, 1999 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
July 19, 1993 - December 13, 1999
J.C. BRADFORD & CO.
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
Series 7TO
Date: 10/17/2019
General Securities Representative ExaminationCurrent Firm
BARRAMUNDI CAPITAL LLC
CRD#: 316044 / SEC#: , 8-70812
Contact information
FINRA licenses (41 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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