Charles F. Millington

MILLINGTON FINANCIAL ADVISORS

Naperville, IL 60540

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CRD#: 4683520

Professional summary

Charles Francis Millington, CFP® is a registered financial advisor currently at MILLINGTON FINANCIAL ADVISORS, LLC located in Naperville, Illinois.

Charles is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Charles has worked at 4 firms and has passed the Series 66, Series 99TO, Series 79TO, SIE, Series 7, Series 27 and Series 24 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.

NAME OF BUSINESS: MILLINGTON & CO. IS NOT INVESTMENT RELATED ADDRESS OF BUSINESS: 222 S. MILL ST. NAPERVILLE, IL 60540 POSITION HELD: PRESIDENT EMPLOYMENT DATES: 12/2010-PRESENT 120 HOURS/MONTHLY APPRX 40 HOURS DEDICATED DURING TRADING HOURS NAME OF BUSINESS:MILLINGTON FINANCIAL ADVISORS, LLC ADDRESS: 222 S. MILL ST, NAPERVILLE, IL 60540 POSITION: MANAGER EMPLOYMENT DATE: 01/2011 TO PRESENT, 60 HOURS PER MONTH TYPE OF BUSINESS AND DUTIES: FINANCIAL PLANNING TO INDIVIDUALS AND SMALL BUSINESSES

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Francis Millington's CRS (Customer Relationship Summary).

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: 2012

Experience

Current

February 10, 2011 - Present

MILLINGTON FINANCIAL ADVISORS, LLC

Office #1: 222 S. Mill Street, Naperville, IL 60540

RIA

CRD#: 156315

Naperville, IL

Past

February 24, 2014 - April 21, 2014

MILLINGTON SECURITIES, INC.

CRD#: 147298

RED BANK, NJ

Past

October 31, 2013 - August 5, 2024

MILLINGTON INVESTMENTS, LLC

CRD#: 168800

NAPERVILLE, IL

Past

December 18, 2009 - February 22, 2014

MILLINGTON SECURITIES, INC.

CRD#: 147298

NAPERVILLE, IL

Past

September 1, 2003 - November 28, 2005

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

CRD#: 39805

CHICAGO, IL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MILLINGTON FINANCIAL ADVISORS, LLC

CRD#: 156315 / SEC#: 801-124802

RIA

Registered Investment Advisory firm - (4/29/2022 Approved)

Florida

Registered Investment Advisory firm - (3/18/2025 Terminated)

Illinois

Registered Investment Advisory firm - (4/21/2025 Terminated)

Texas

Registered Investment Advisory firm - (3/18/2025 Terminated)

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).

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

Florida
(12/21/2021)

IAR

Illinois
(2/10/2011)

IAR

Texas
(3/25/2021)

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

IAR

Series 66

Date: 1/12/2010

Uniform Combined State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/17/2009

General Securities Representative Examination

Principal/Supervisory Exam

Series 27

Date: 5/21/2010

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 5/18/2010

General Securities Principal Examination

Current Firm

MILLINGTON FINANCIAL ADVISORS, LLC

CRD#: 156315 / SEC#: 801-124802

RIA

Registered Investment Advisory firm - (4/29/2022 Approved)

Florida

Registered Investment Advisory firm - (3/18/2025 Terminated)

Illinois

Registered Investment Advisory firm - (4/21/2025 Terminated)

Texas

Registered Investment Advisory firm - (3/18/2025 Terminated)

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Contact information

Main Address

222 S. Mill Street, Naperville, IL 60540

Mailing Address

Phone number

(630) 922-7900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2A BROCHURE (3/18/2025)

Regulatory assets under management

Total Number of Accounts	497
AUM (Assets Under Management)	$ 224,449,461

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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Advisor Monitoring

Firm Stability Insights

Charles F. Millington

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Francis Millington's CRS (Customer Relationship Summary).

Certified licenses

Experience

MILLINGTON SECURITIES, INC.

MILLINGTON INVESTMENTS, LLC

MILLINGTON SECURITIES, INC.

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

Primary Firm SEC Registration

MILLINGTON FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/12/2010

Series 99TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 12/17/2009

Series 27

Date: 5/21/2010

Series 24

Date: 5/18/2010

Current Firm

MILLINGTON FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MILLINGTON FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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