Randi A. 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.
Randi Alyse Mills, who also goes by Randi Alyse Soares, was a registered financial professional .
Randi is a previously registered financial professional and started their career in finance in 1999. Randi had worked at 7 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 13, 2018 - April 21, 2021
FOCUS PARTNERS ADVISOR SOLUTIONS, LLC
October 29, 2018 - September 2, 2020
FORESIDE FINANCIAL SERVICES, LLC
March 11, 2015 - December 13, 2018
LWI FINANCIAL INC.
March 11, 2015 - October 29, 2018
LORING WARD SECURITIES INC.
September 3, 2008 - March 9, 2015
FOOTHILL SECURITIES, INC.
September 2, 2008 - March 9, 2015
FOOTHILL SECURITIES, INC.
January 24, 2008 - August 29, 2008
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
January 23, 2008 - August 29, 2008
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
November 8, 2005 - January 7, 2008
KELMOORE INVESTMENT COMPANY, INC.
January 8, 1999 - January 7, 2008
KELMOORE INVESTMENT COMPANY, INC.
Primary Firm SEC Registration
FOCUS PARTNERS ADVISOR SOLUTIONS, LLC
CRD#: 143319 / SEC#: 801-67641
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 7TO
Date: 3/30/2024
General Securities Representative ExaminationCurrent Firm
FOCUS PARTNERS ADVISOR SOLUTIONS, LLC
CRD#: 143319 / SEC#: 801-67641
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 78,053 |
| AUM (Assets Under Management) | $ 32,238,330,999 |
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.
