Marvin L. Mills

STRATEGICOME ADVISORS

Escondido, CA

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CRD#: 336023

Professional summary

Marvin Leroy Mills is a registered financial advisor currently at STRATEGIC INCOME ADVISORS located in Escondido, California.

Marvin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Marvin has worked at 7 firms and has passed the Series 63, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

INSURANCE AGENT, BENEFITS ADVISORY; SAME ADDRESS. INSURANCE COMMISSIONS. APPROXIMATELY 5% OF BUSINESS HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Marvin Leroy 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®

None

Experience

Current

October 7, 2011 - Present

STRATEGIC INCOME ADVISORS

RIA

CRD#: 157843

Escondido, CA

Past

March 10, 2003 - December 31, 2009

CENTAURUS FINANCIAL, INC.

RIA

CRD#: 30833

ESCONDIDO, CA

Past

September 18, 2002 - December 31, 2009

CENTAURUS FINANCIAL, INC.

CRD#: 30833

ANAHEIM, CA

Past

November 30, 1998 - September 12, 2002

SENTRA SECURITIES CORPORATION

RIA

CRD#: 10249

CARLSBAD, CA

Past

November 16, 1998 - September 12, 2002

SENTRA SECURITIES CORPORATION

CRD#: 10249

PHOENIX, AZ

Past

February 4, 1998 - November 16, 1998

UNITED PACIFIC SECURITIES, INC.

CRD#: 21986

CARLSBAD, CA

Past

June 27, 1996 - February 4, 1998

CRISPIN KOEHLER SECURITIES

CRD#: 10596

TAMPA, FL

Past

January 23, 1996 - June 19, 1996

SENTRA SECURITIES CORPORATION

CRD#: 10249

PHOENIX, AZ

Past

March 23, 1993 - January 4, 1996

PIM FINANCIAL SERVICES, INC.

CRD#: 10547

SAN MARCOS, CA

Past

November 12, 1992 - February 23, 1993

PACIFIC CONTINENTAL SECURITIES CORPORATION

CRD#: 2398

BEVERLY HILLS, CA

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(10/7/2011)

IAR

Minnesota
(7/20/2023)

IAR

Texas
(5/20/2014)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 1/29/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 22

Date: 3/25/1994

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 11/9/1992

Investment Company Products/Variable Contracts Representative Examination

Current Firm

STRATEGIC INCOME ADVISORS

CRD#: 157843 / SEC#:

California

Registered Investment Advisory firm - (10/7/2011 Approved)

Colorado

Registered Investment Advisory firm - (11/27/2024 Terminated)

Minnesota

Registered Investment Advisory firm - (6/20/2014 Approved)

Texas

Registered Investment Advisory firm - (5/20/2014 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Escondido, CA

Mailing Address

Phone number

(760) 480-0946

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	95
AUM (Assets Under Management)	$ 40,000,000

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.

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Firm Stability Insights

Marvin L. Mills

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Marvin Leroy Mills's CRS (Customer Relationship Summary).

Certified licenses

Experience

CENTAURUS FINANCIAL, INC.

CENTAURUS FINANCIAL, INC.

SENTRA SECURITIES CORPORATION

SENTRA SECURITIES CORPORATION

UNITED PACIFIC SECURITIES, INC.

CRISPIN KOEHLER SECURITIES

SENTRA SECURITIES CORPORATION

PIM FINANCIAL SERVICES, INC.

PACIFIC CONTINENTAL SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 1/29/1993

Series 22

Date: 3/25/1994

Series 6

Date: 11/9/1992

Current Firm

STRATEGIC INCOME ADVISORS

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

STRATEGIC INCOME ADVISORS

TRUST BUT VERIFY

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