Adam D. Millsaps
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.
Adam Douglas Millsaps was a registered financial professional .
Adam is a previously registered financial professional and started their career in finance in 2008. Adam had worked at 3 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 5, 2019 - September 22, 2021
DAY WEALTH MANAGEMENT, INC.
May 16, 2012 - December 3, 2015
INVEST FINANCIAL CORPORATION
May 16, 2012 - December 3, 2015
INVEST FINANCIAL CORPORATION
August 19, 2008 - May 17, 2012
CUNA BROKERAGE SERVICES, INC.
July 15, 2008 - May 17, 2012
CUNA BROKERAGE SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
DAY WEALTH MANAGEMENT, INC.
CRD#: 141803 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 65 |
| AUM (Assets Under Management) | $ 16,570,895 |
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.
