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JM

James C. Mills

Some features on this profile are disabled
CRD#: 3015276
JM

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.

James Chris Mills, CIMA® was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1998. James had worked at 11 firms and has passed the Series 65, Series 63, Series 50, Series 79TO, Series 52TO, Series 99TO, SIE, Series 7, Series 6, Series 54, Series 53, Series 4 and Series 24 exams.

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®
CIMA®

Certified Investment Management Analyst

Experience

Past

February 28, 2025 - November 18, 2025

THE PACIFIC FINANCIAL GROUP, INC.

RIA
CRD#: 105203
Coral Springs, FL
Past

January 2, 2025 - November 18, 2025

PACIFIC FINANCIAL GROUP, LLC

RIA
CRD#: 143041
Coral Springs, FL
Past

December 6, 2019 - December 31, 2022

KOVACK INTERNATIONAL ADVISORS INC.

RIA
CRD#: 170450
FORT LAUDERDALE, FL
Past

October 4, 2018 - July 22, 2022

LATIN SECURITIES INC.

BD
CRD#: 164117
FT. LAUDERDALE, FL
Past

July 15, 2004 - August 15, 2006

KOVACK SECURITIES INC.

RIA
CRD#: 44848
FORT LAUDERDALE, FL
Past

July 15, 2004 - March 5, 2024

KOVACK ADVISORS, INC.

RIA
CRD#: 140808
FT. LAUDERDALE, FL
Past

March 18, 2003 - March 5, 2024

KOVACK SECURITIES INC.

BD
CRD#: 44848
FORT LAUDERDALE, FL
Past

September 16, 2002 - March 31, 2003

THE TRUMAN GROUP INC

BD
CRD#: 10764
DELRAY BEACH, FL
Past

February 28, 2002 - September 11, 2002

LLOYD, SCOTT & VALENTI, LTD.

RIA
CRD#: 23640
CORAL SPRINGS, FL
Past

January 23, 2002 - September 11, 2002

LLOYD, SCOTT & VALENTI, LTD.

BD
CRD#: 23640
AUSTIN, TX
Past

December 15, 1999 - January 24, 2002

NATIONAL PLANNING CORPORATION

BD
CRD#: 29604
LOS ANGELES, CA
Past

July 6, 1999 - January 5, 2000

FIRST ALLIED SECURITIES, INC.

BD
CRD#: 32444
SAN DIEGO, CA
Past

February 24, 1998 - July 7, 1999

SUNAMERICA SECURITIES, INC.

BD
CRD#: 20068
PHOENIX, AZ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TP
THE PACIFIC FINANCIAL GROUP, INC.
GOLD STAR FINANCIAL | THE PACIFIC FINANCIAL GROUP, INC. | THE PACIFIC FINANCIAL GROUP | SERVE AND PROTECT FINANCIAL | PACIFIC FINANCIAL GROUP INC

CRD#: 105203 / SEC#: 801-18151

RIA
Registered Investment Advisory firm - (1/10/1983 Approved)

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
IAR
Series 65
Date: 6/7/2000
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/28/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 50
Date: 11/1/2023
Municipal Advisor Representative Qualification Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/27/1999
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 2/23/1998
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 54
Date: 11/22/2023
Municipal Advisor Principal Qualification Examination
Principal/Supervisory Exam
RR
Series 53
Date: 4/15/2002
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 3/25/2002
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/22/1999
General Securities Principal Examination

Current Firm

TP
THE PACIFIC FINANCIAL GROUP, INC.
GOLD STAR FINANCIAL | THE PACIFIC FINANCIAL GROUP, INC. | THE PACIFIC FINANCIAL GROUP | SERVE AND PROTECT FINANCIAL | PACIFIC FINANCIAL GROUP INC

CRD#: 105203 / SEC#: 801-18151

RIA
Registered Investment Advisory firm - (1/10/1983 Approved)
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Contact information

Main Address
1920 Adelicia Street Suite 500, Nashville, TN 37212
Mailing Address
900 20th Avenue South Suite 500, Nashville, TN 37212
Phone number
(425) 451-7722
Established
Firm type
Fiscal year end
# of Employees
66

SEC notice filing (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

TPFG.ADV 2A & 2B.FINAL.02.04.26 (2/4/2026)

Regulatory assets under management

Total Number of Accounts18,959
AUM (Assets Under Management)$ 4,111,414,788

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

THE PACIFIC FINANCIAL GROUP, INC.

CRD#: 105203

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