James C. Mills

SARA-BAY FINANCIAL

Sarasota, FL 34232

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CRD#: 6120941

Professional summary

James Christopher Mills, CFP®, who also goes by Chris Mills, is a registered financial advisor currently at SARA-BAY FINANCIAL CORP. located in Sarasota, Florida.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. James has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Chris 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 James Christopher Mills'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: 2019

Experience

Current

March 2, 2020 - Present

SARA-BAY FINANCIAL CORP.

Office #1: 2201 Cantu Court Suite 102, Sarasota, FL 34232

RIA

CRD#: 133443

Sarasota, FL

Past

March 1, 2019 - December 31, 2019

SARA-BAY FINANCIAL CORP.

RIA

CRD#: 133443

SARASOTA, FL

Past

July 13, 2018 - February 14, 2019

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

BOSTON, MA

Past

August 21, 2013 - July 13, 2018

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

INDIANAPOLIS, IN

Past

December 4, 2012 - February 11, 2019

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

INDIANAPOLIS, IN

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".

SARA-BAY FINANCIAL CORP.

NO COMMISSION ANNUITY | SARA-BAY FINANCIAL CORP.

CRD#: 133443 / SEC#: 801-79508

RIA

Registered Investment Advisory firm - (4/21/2014 Approved)

Florida

Registered Investment Advisory firm - (4/23/2014 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
(3/2/2020)

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: 8/15/2013

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/12/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/3/2012

General Securities Representative Examination

Current Firm

SARA-BAY FINANCIAL CORP.

NO COMMISSION ANNUITY | SARA-BAY FINANCIAL CORP.

CRD#: 133443 / SEC#: 801-79508

RIA

Registered Investment Advisory firm - (4/21/2014 Approved)

Florida

Registered Investment Advisory firm - (4/23/2014 Terminated)

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Contact information

Main Address

2201 Cantu Court Suite 102, Sarasota, FL 34232

Mailing Address

Phone number

(941) 371-8027

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MIKE HARD SUPPLEMENT (1/28/2025)

DISCLOSURE BROCHURE 1-1-2020 AMENDED 7-17-20, AMENDED 2-3-2023 (1/28/2025)

JAMES CHRISTOPHER MILLS (1/28/2025)

BEN HARD SUPPLEMENT (1/28/2025)

Regulatory assets under management

Total Number of Accounts	848
AUM (Assets Under Management)	$ 318,307,523

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

James C. Mills

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Christopher Mills's CRS (Customer Relationship Summary).

Certified licenses

Experience

SARA-BAY FINANCIAL CORP.

FIDELITY PERSONAL AND WORKPLACE ADVISORS

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

SARA-BAY FINANCIAL CORP.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/15/2013

Series 63

Date: 12/12/2012

SIE

Date: 10/1/2018

Series 7

Date: 12/3/2012

Current Firm

SARA-BAY FINANCIAL CORP.

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SARA-BAY FINANCIAL CORP.

TRUST BUT VERIFY

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