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TM

Thomas P. Mills

MILLS FINANCIAL SERVICES LLC
Tehachapi, CA
Some features on this profile are disabled
CRD#: 4191731
TM

Professional summary

Thomas Patrick Mills, who also goes by Thomas Mills, is a registered financial advisor currently at MILLS FINANCIAL SERVICES LLC located in Tehachapi, California.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Thomas has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Thomas Mills

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) - RIA

Click below to view Thomas Patrick 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

January 12, 2021 - Present

MILLS FINANCIAL SERVICES LLC

RIA
CRD#: 295175
Tehachapi, CA
Past

May 25, 2018 - December 31, 2020

MILLS FINANCIAL SERVICES LLC

RIA
CRD#: 295175
TEHACHAPI, CA
Past

September 28, 2000 - November 14, 2017

WADDELL & REED

RIA
CRD#: 866
RIVERSIDE, CA
Past

June 19, 2000 - November 14, 2017

WADDELL & REED

BD
CRD#: 866
RIVERSIDE, 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
(1/12/2021)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/8/2000
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 11/14/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/17/2000
General Securities Representative Examination

Current Firm

MF
MILLS FINANCIAL SERVICES LLC
MILLS FINANCIAL SERVICES LLC

CRD#: 295175 / SEC#:

California
Registered Investment Advisory firm - (1/12/2021 Approved)
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Contact information

Main Address
Tehachapi, CA
Mailing Address
Phone number
(661) 238-0996
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts72
AUM (Assets Under Management)$ 4,500,000

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.

Company Information

MILLS FINANCIAL SERVICES LLC

CRD#: 295175Tehachapi, CA

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