Charles 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.
Charles Arthur Mills III, who also goes by Charles Arthur Mills, Charlie Arthur Mills III, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1972. Charles had worked at 5 firms and has passed the Series 65, Series 63, Series 1, Series 4, Series 12 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 21, 1996 - February 13, 2020
MILLS VALUE ADVISER INC
September 19, 1986 - November 22, 2011
ANDERSON & STRUDWICK, INCORPORATED
April 3, 1979 - September 26, 1986
SCOTT & STRINGFELLOW, INC.
November 17, 1976 - March 28, 1979
ANDERSON & STRUDWICK, INCORPORATED
July 3, 1975 - December 5, 1976
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
May 10, 1973 - July 13, 1975
BACHE & CO INCORPORATED
January 26, 1972 - June 24, 1973
ANDERSON & STRUDWICK, INCORPORATED
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 1
Date: 1/18/1972
Registered Representative ExaminationSeries 12
Date: 3/1/1977
NYSE Branch Manager ExaminationSeries 40
Date: 3/1/1977
Registered Principal ExaminationCurrent Firm
MILLS VALUE ADVISER INC
CRD#: 105886 / SEC#: 801-62887
Contact information
Regulatory assets under management
| Total Number of Accounts | 30 |
| AUM (Assets Under Management) | $ 6,975,410 |
Red Flags
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