Wanda F. 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.
Wanda Faye Mills, who also goes by Wanda Mills, was a registered financial professional .
Wanda is a previously registered financial professional and started their career in finance in 2006. Wanda had worked at 2 firms and has passed the SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 15, 2018 - January 2, 2023
CAPITAL BROKERAGE CORPORATION
October 31, 2013 - July 10, 2017
CAPITAL BROKERAGE CORPORATION
October 19, 2011 - February 26, 2013
LPL FINANCIAL LLC
February 22, 2006 - May 14, 2010
CAPITAL BROKERAGE CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CAPITAL BROKERAGE CORPORATION
CRD#: 10465 / SEC#: , 8-26614
Contact information
FINRA licenses (53 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 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.
