Raymond 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.
Raymond Eugene Mills was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1969. Raymond had worked at 6 firms and has passed the SIE, Series 1 and V06 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 9, 2004 - July 13, 2015
ASHTON YOUNG, INC.
August 1, 1997 - December 31, 2003
SIGMA FINANCIAL CORPORATION
July 9, 1974 - August 1, 1997
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
March 13, 1972 - May 8, 1990
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
December 19, 1969 - July 28, 1972
MULTIVEST SECURITIES INC
March 4, 1969 - September 5, 1974
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
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: 2/27/1969
Registered Representative ExaminationV06
Date: 2/27/1969
Variable Annuities Module ExaminationCurrent Firm
ASHTON YOUNG, INC.
CRD#: 2827 / SEC#: , 8-8369
Contact information
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
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