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JM

John R. Mills

ALT FUND DISTRIBUTORS LLC
New York, NY 10017
Some features on this profile are disabled
CRD#: 336002
JM

Professional summary

John Robert Mills, CFP®, CIMA® is a registered financial professional currently at ALT FUND DISTRIBUTORS LLC located in New York, New York.

John is registered as a RR (Registered Representative) and started their career in finance in 1973. John has worked at 18 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 1 and Series 000 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) - BD

Click below to view John Robert Mills's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®

Certified Financial Planner

Start date: 1987

CIMA®

Certified Investment Management Analyst

Experience

Current

January 13, 2015 - Present

ALT FUND DISTRIBUTORS LLC

Office #1: 140 East 45th Street Suite 15 B, New York, NY 10017
BD
CRD#: 146547
New York, NY
Past

December 10, 2013 - January 16, 2015

INNOVATION PARTNERS LLC

BD
CRD#: 146344
CHARLOTTE, NC
Past

January 19, 2012 - November 25, 2013

LPL FINANCIAL LLC

RIA
CRD#: 6413
NEW ORLEANS, LA
Past

January 13, 2012 - November 25, 2013

LPL FINANCIAL LLC

BD
CRD#: 6413
NEW ORLEANS, LA
Past

June 28, 2006 - July 15, 2011

BLACKROCK FINANCIAL MANAGEMENT, INC

RIA
CRD#: 107105
KENNER, LA
Past

April 5, 2005 - June 28, 2006

BLACKROCK CAPITAL MANAGEMENT, INC.

RIA
CRD#: 108069
NEW YORK, NY
Past

September 10, 2003 - July 15, 2011

BLACKROCK INVESTMENTS, LLC

BD
CRD#: 38642
BOSTON, MA
Past

January 12, 1995 - January 10, 2003

INVESCO CAPITAL MARKETS, INC.

BD
CRD#: 6939
HOUSTON, TX
Past

June 21, 1991 - January 12, 1995

AMERICAN CAPITAL MARKETING, INC.

BD
CRD#: 6699
Past

June 14, 1990 - June 28, 1991

FRANCHISE EQUITIES CORPORATION

BD
CRD#: 22971
DENVER, CO
Past

July 9, 1986 - June 11, 1990

FFCA SECURITIES CORPORATION

BD
CRD#: 10289
Past

April 28, 1981 - November 5, 1985

E. F. HUTTON & COMPANY INC

BD
CRD#: 235
Past

June 25, 1979 - February 12, 1981

LEHMAN BROTHERS INC.

BD
CRD#: 7506
Past

January 18, 1978 - June 25, 1979

LOEB PARTNERS

BD
CRD#: 7534
Past

September 16, 1977 - August 4, 1983

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
Past

May 3, 1977 - January 18, 1978

LOEB RHOADES & CO. INC.

BD
CRD#: 7502
Past

August 27, 1976 - September 16, 1977

BACHE HALSEY STUART INC.

BD
CRD#: 7238
Past

February 27, 1976 - August 27, 1976

BACHE & CO INCORPORATED

BD
CRD#: 7058
Past

June 13, 1973 - August 27, 1976

BACHE & CO., INCORPORATED

BD
CRD#: 66

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arkansas
(2/29/2024)
RR
Louisiana
(1/16/2015)
RR
Mississippi
(2/29/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/4/2005
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/4/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 1
Date: 6/11/1973
Registered Representative Examination
General Industry/Product Exam
RR
Series 000
Date: 1/1/1973
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AF
ALT FUND DISTRIBUTORS LLC
ALT FUND DISTRIBUTORS LLC | CATALYST MUTUALS FUND DISTRIBUTORS LLC | CAPITAL REAL ESTATE SECURITIES, LLC | ASCENT REAL ESTATE SECURITIES, LLC | ASCENT REAL ESTATE SECURITIES LLC

CRD#: 146547 / SEC#: , 8-67829

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

Main Address
140 East 45th Street Suite 15 B, New York, NY 10017
Mailing Address
140 East 45th Street Suite 15 B, New York, NY 10017
Phone number
(646) 757-8062
Established
Colorado since 12/18/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
MFUND DISTRIBUTORS LLCOWNER
MEEHAN, KEVIN PATRICKCCO, FINOP4652695
MILDER, LARRY IRWINCEO1306646

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

ALT FUND DISTRIBUTORS LLC

CRD#: 146547New York, NY 10017

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