Jose A. Mila
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.
Jose Antonio Mila, who also goes by Jose Antonio Mila Jr, was a registered financial professional .
Jose is a previously registered financial professional and started their career in finance in 1994. Jose had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9, Series 53, Series 24, Series 8 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 2, 2015 - June 15, 2016
ALLSTATE FINANCIAL SERVICES, LLC
June 5, 2014 - August 10, 2015
MML INVESTORS SERVICES, LLC
May 8, 2014 - August 10, 2015
MML INVESTORS SERVICES, LLC
December 18, 2013 - April 8, 2014
WADDELL & REED
December 17, 2013 - April 8, 2014
WADDELL & REED
June 24, 2011 - May 3, 2013
STRATEGIC ADVISERS LLC
June 21, 2011 - May 2, 2013
FIDELITY BROKERAGE SERVICES LLC
April 22, 2010 - May 13, 2011
NEW ENGLAND SECURITIES
September 16, 2009 - May 13, 2011
NEW ENGLAND SECURITIES
November 9, 2007 - September 17, 2009
AUTO CLUB FUNDS, INC.
May 14, 2002 - November 12, 2007
CETERA WEALTH SERVICES, LLC
June 12, 1995 - October 26, 2001
AMERIPRISE ADVISOR SERVICES, INC.
August 4, 1994 - March 30, 1995
WADDELL & REED
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 8
Date: 2/2/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ALLSTATE FINANCIAL SERVICES, LLC
CRD#: 18272 / SEC#: , 8-36365
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSTATE INSURANCE COMPANY | OWNER | |
| BOUDREAU, JOHN DOUGLAS | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE | 6357880 |
| DELANEY, SCOTT SULLIVAN | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2978681 |
| LANSPA, PAUL DONALD | CHIEF OPERATING OFFICER | 6449159 |
| MUELLER, DAVID JOHN | GENERAL COUNSEL AND SECRETARY | 7807045 |
| NELSON, MARY KRIS | CHAIRMAN OF THE BOARD | 2464654 |
| SWEENEY, MICHAEL DANIEL | AML OFFICER | 2026113 |
| WHITCOMB, MICHAEL JAMES | FINOP | 7495756 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Red Flags
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.
