Candice E. 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.
Candice Elizabeth Mills, who also goes by Candice Elizabeth Curtis, Candice E Mills, Candice Elizabeth Peterson, was a registered financial professional .
Candice is a previously registered financial professional and started their career in finance in 1999. Candice had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 11 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 21, 2014 - May 15, 2018
CETERA INVESTMENT ADVISERS LLC
July 15, 2005 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
July 15, 2005 - May 15, 2018
CETERA INVESTMENT SERVICES LLC
August 30, 2000 - July 26, 2005
CETERA ADVISORS LLC
April 7, 1999 - April 14, 2000
WALNUT STREET SECURITIES, INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
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 11
Date: 4/5/1999
Assistant Representative-Order Processing Qualification ExamCurrent Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
