Stephen B. Nelson

MILLS WEALTH ADVISORS

Southlake, TX 76092

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CRD#: 6129809

Professional summary

Stephen Brooks Nelson, CFP® is a registered financial advisor currently at MILLS WEALTH ADVISORS, LLC located in Southlake, Texas.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Stephen has worked at 2 firms and has passed the Series 63, SIE and Series 6 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.

Professional Designations: The Accredited Investment Fiduciary� (AIF�) and The Certified Exit Planning Advisor (CEPA�)

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Brooks Nelson'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: 2017

Experience

Current

April 13, 2018 - Present

MILLS WEALTH ADVISORS, LLC

Office #1: 1207 S. White Chapel Blvd Suite 150, Southlake, TX 76092

RIA

CRD#: 159251

Southlake, TX

Past

July 17, 2014 - April 26, 2018

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

ST GEORGE, UT

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".

MILLS WEALTH ADVISORS, LLC

MIKE MILLS WEALTH MANAGEMENT LLC | MILLS WEALTH ADVISORS, LLC | MILLS WEALTH

CRD#: 159251 / SEC#: 801-110251

RIA

Registered Investment Advisory firm - (4/4/2017 Approved)

Colorado

Registered Investment Advisory firm - (12/6/2016 Terminated)

Louisiana

Registered Investment Advisory firm - (6/9/2017 Terminated)

Texas

Registered Investment Advisory firm - (6/9/2017 Terminated)

Virginia

Registered Investment Advisory firm - (6/9/2017 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

Texas
(4/13/2018)

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

Series 63

Date: 8/19/2014

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 4/26/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 7/17/2014

Investment Company Products/Variable Contracts Representative Examination

Current Firm

MILLS WEALTH ADVISORS, LLC

MIKE MILLS WEALTH MANAGEMENT LLC | MILLS WEALTH ADVISORS, LLC | MILLS WEALTH

CRD#: 159251 / SEC#: 801-110251

RIA

Registered Investment Advisory firm - (4/4/2017 Approved)

Colorado

Registered Investment Advisory firm - (12/6/2016 Terminated)

Louisiana

Registered Investment Advisory firm - (6/9/2017 Terminated)

Texas

Registered Investment Advisory firm - (6/9/2017 Terminated)

Virginia

Registered Investment Advisory firm - (6/9/2017 Terminated)

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Contact information

Main Address

1207 S. White Chapel Blvd Suite 150, Southlake, TX 76092

Mailing Address

Phone number

(817) 416-7300

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

MILLS WEALTH ADVISORS, LLC ADV 2 (8/30/2025)

Regulatory assets under management

Total Number of Accounts	1,691
AUM (Assets Under Management)	$ 440,076,004

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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Stephen B. Nelson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Brooks Nelson's CRS (Customer Relationship Summary).

Certified licenses

Experience

MILLS WEALTH ADVISORS, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

MILLS WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/19/2014

SIE

Date: 4/26/2018

Series 6

Date: 7/17/2014

Current Firm

MILLS WEALTH ADVISORS, LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MILLS WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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