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RM

Robert D. Mills

Some features on this profile are disabled
CRD#: 2804781
RM

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.

Robert Dalton Mills was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1999. Robert had worked at 9 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

June 14, 2018 - May 9, 2019

LINDEN THOMAS AND COMPANY SECURITIES, LLC

BD
CRD#: 290244
CHARLOTTE, NC
Past

June 4, 2018 - December 11, 2019

LINDEN THOMAS ADVISORY SERVICES, LLC

RIA
CRD#: 288557
CHARLOTTE, NC
Past

February 13, 2007 - June 15, 2018

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA
CRD#: 11025
CHARLOTTE, NC
Past

February 13, 2007 - June 15, 2018

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

BD
CRD#: 11025
CHARLOTTE, NC
Past

November 7, 2002 - February 9, 2007

CETERA WEALTH SERVICES, LLC

RIA
CRD#: 13572
CHARLOTTE, NC
Past

October 8, 2002 - February 9, 2007

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
CHARLOTTE, NC
Past

June 7, 2001 - September 27, 2002

EDWARD JONES

BD
CRD#: 250
ST. LOUIS, MO
Past

April 25, 2001 - April 25, 2001

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

June 16, 1999 - July 21, 1999

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

June 16, 1999 - July 21, 1999

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN
Past

June 16, 1999 - February 21, 2001

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/6/2002
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 7/23/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/26/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/15/1999
General Securities Representative Examination

Current Firm

LT
LINDEN THOMAS AND COMPANY SECURITIES, LLC
LINDEN THOMAS AND COMPANY SECURITIES, LLC

CRD#: 290244 / SEC#: , 8-70026

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
516 N. Tryon Street, Charlotte, NC 28202
Mailing Address
516 N. Tryon Street, Charlotte, NC 28202
Phone number
(704) 554-8150
Established
North Carolina since 08/29/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (43 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
LINDEN THOMAS AND COMPANY, LLCMEMBER
HUNT, DAVID LEEFINOP2772872
SMITH, DAVID LEONCCO/ROP/GENERAL SEC & MUNICIPAL PRINCIPAL2246779
THOMAS, STEPHEN LINDENMANAGING PRINCIPAL1789031

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.

Company Information

LINDEN THOMAS AND COMPANY SECURITIES, LLC

CRD#: 290244

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