Walter A. Mills
Professional summary
Walter Andrew Mills was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Walter is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Walter had worked at 12 firms, which includes GRIFFIN MILLS & LONG LLC, SALOMON GREY FINANCIAL CORPORATION, WORLD TRADE FINANCIAL CORPORATION, SHELMAN SECURITIES CORP., HORNBLOWER & WEEKS INC., CHICAGO INVESTMENT GROUP LLC, HAMPTON-PORTER INVESTMENT BANKERS A CALIFORNIA LLC, FORTRESS FINANCIAL GROUP LTD., PACIFIC CORTEZ SECURITIES INCORPORATED, LLOYD WADE SECURITIES INC., IDS LIFE INSURANCE COMPANY, AMERIPRISE FINANCIAL SERVICES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 31, 2003 - July 19, 2007
GRIFFIN, MILLS & LONG, LLC
January 29, 2003 - April 24, 2003
SALOMON GREY FINANCIAL CORPORATION
January 13, 2003 - February 19, 2003
WORLD TRADE FINANCIAL CORPORATION
April 16, 2002 - September 9, 2003
SHELMAN SECURITIES CORP.
July 17, 2001 - January 29, 2002
HORNBLOWER & WEEKS, INC.
March 5, 2001 - July 17, 2001
CHICAGO INVESTMENT GROUP, LLC
December 10, 1999 - March 5, 2001
SALOMON GREY FINANCIAL CORPORATION
August 19, 1998 - November 22, 1999
HAMPTON-PORTER, INVESTMENT BANKERS, A CALIFORNIA LLC
August 6, 1998 - December 30, 1998
FORTRESS FINANCIAL GROUP, LTD.
July 29, 1997 - July 6, 1998
PACIFIC CORTEZ SECURITIES INCORPORATED
March 8, 1997 - May 13, 1997
PACIFIC CORTEZ SECURITIES INCORPORATED
January 8, 1997 - July 21, 1997
LLOYD WADE SECURITIES INC.
July 17, 1996 - December 31, 1996
LLOYD WADE SECURITIES INC.
February 1, 1996 - July 10, 1996
PACIFIC CORTEZ SECURITIES INCORPORATED
March 23, 1995 - December 20, 1995
PACIFIC CORTEZ SECURITIES INCORPORATED
November 8, 1994 - November 18, 1994
IDS LIFE INSURANCE COMPANY
November 8, 1994 - November 18, 1994
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
GRIFFIN, MILLS & LONG, LLC
CRD#: 47778 / SEC#: , 8-51898
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MILLS, WALTER ANDREW | MANAGING DIRECTOR, CEO | 2532559 |
| GEORGE, KENNETH RONALD | CHIEF FINANCIAL OFFICER | |
| REVELS, JAMES ARTHUR | CHIEF COMPLIANCE OFFICER |
Disclosures
| Regulatory Event | 1 |
Red Flags
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