Robert P. 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.
Robert Paul Mills, who also goes by Bob Mills, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1973. Robert had worked at 9 firms and has passed the Series 66, Series 63, SIE, PC, Series 000, Series 1 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2007 - May 26, 2016
LEIGH BALDWIN & CO., LLC
July 20, 2004 - July 22, 2021
NEWMAN LADD CAPITAL ADVISORS, LLC.
October 31, 2003 - December 31, 2006
NEWMAN, LADD CAPITAL, INC.
May 28, 1985 - November 26, 2003
JANNEY MONTGOMERY SCOTT LLC
September 9, 1983 - May 30, 1985
BURGESS & LEITH INCORPORATED
January 27, 1981 - September 6, 1983
STAMFORD CAPITAL, STERLING GRACE & CO., INC.
September 7, 1976 - February 28, 1981
TUCKER ANTHONY INCORPORATED
August 27, 1976 - November 15, 1976
BACHE & CO INC
July 20, 1973 - August 27, 1976
BACHE & CO INCORPORATED
Primary Firm SEC Registration
LEIGH BALDWIN & CO., LLC
CRD#: 38751 / SEC#: 801-69290, 8-48385
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
PC
Date: 4/1/1977
AMEX Put and Call ExamSeries 000
Date: 7/16/1973
General Securities Principal ExaminationSeries 1
Date: 7/13/1973
Registered Representative ExaminationSeries 8
Date: 10/21/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
LEIGH BALDWIN & CO., LLC
CRD#: 38751 / SEC#: 801-69290, 8-48385
Contact information
SEC notice filing (13 States and Territories)
FINRA licenses (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 756 |
| AUM (Assets Under Management) | $ 285,522,208 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
| Bond | 1 |
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.
