Robert Alan Mills | Financial Professional | Westlake Village, California | GOLDEN STATE WEALTH MANAGEMENT, LLC

Professional summary

Robert Alan Mills, who also goes by Robert A. 'rocky' Mills, is a registered financial advisor currently at GOLDEN STATE WEALTH MANAGEMENT, LLC located in Westlake Village, California and LPL FINANCIAL LLC located in Westlake Village, California.

Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1978. Robert has worked at 10 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 15, Series 5, Series 7, Series 53, Series 12, Series 24 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Robert A. 'rocky' 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.

1. 01/13/2017 - WESTLAKE INVESTMENT ADVISORS/ DBA for LPL Business (entity for LPL business)/ 100%/ WESTLAKE VILLAGE, CA. 2. 1/18/2017 - Golden State Wealth Management, LLC - DBA: WESTLAKE INVESTMENT ADVISORS - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 1/13/2017 - Time Spent 100% - I provide investment advisory services through Golden State Wealth Management, LLC, an independent investment advisor firm. I started this business activity in January 2017. I expect to spend approximately 100 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 3. 1/18/2017 - GOLDEN STATE WEALTH MANAGEMENT - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 1/13/2007 - 160 Hours Per Month - Time Spent 100% - I provide investment advisory services through Golden State Wealth Management, an independent investment advisor firm. I started this business activity in January, 2017. I expect to spend approximately 100 hours per month] on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 4. 08/27/2019 - No business name - Investment related - At reported business location(s) - Non-Variable Insurance - start date:08/26/2019 - 3 hrs/mo - 3 hrs during trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Alan 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®

None

Experience

Current

January 13, 2017 - Present

GOLDEN STATE WEALTH MANAGEMENT, LLC

Office #1: 5743 Corsa Avenue #113, Westlake Village, CA 91362

RIA

CRD#: 167995

Westlake Village, CA

Current

January 13, 2017 - Present

LPL FINANCIAL LLC

Office #1: 5743 Corsa Avenue, Suite 113, Westlake Village, CA 91362

RIA

BD

CRD#: 76

Past

January 31, 1980 - March 13, 1986

UBS FINANCIAL SERVICES INC.

BD

CRD#: 8174

Past

February 2, 1978 - January 31, 1980

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

BD

CRD#: 640

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".

GS

GOLDEN STATE WEALTH MANAGEMENT, LLC

CRD#: 167995 / SEC#: 801-107445

RIA

Registered Investment Advisory firm - (3/21/2016 Approved)

California

Registered Investment Advisory firm - (4/28/2016 Terminated)

Washington

Registered Investment Advisory firm - (4/29/2016 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.

RR

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR

California
(1/13/2017)

IAR

California
(1/13/2017)

IAR

Texas
(7/30/2020)

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. Note: This rule does not apply to broker-dealer activity.

GS

GOLDEN STATE WEALTH MANAGEMENT, LLC

CRD#: 167995 / SEC#: 801-107445

RIA

Registered Investment Advisory firm - (3/21/2016 Approved)

California

Registered Investment Advisory firm - (4/28/2016 Terminated)

Washington

Registered Investment Advisory firm - (4/29/2016 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).

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Contact information

Main Address

201 E. Sandpointe Avenue #460, South Coast Metro, CA 92707

Mailing Address

Phone number

(866) 273-1563

Established

Firm type

Fiscal year end

# of Employees

47

SEC notice filing (36 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GSWM 2A FIRM BROCHURE (5/12/2025)

GOLDEN STATE WEALTH MANAGEMENT WRAP FEE PROGRAM BROCHURE (5/5/2025)

Regulatory assets under management

Total Number of Accounts	6,434
AUM (Assets Under Management)	$ 1,835,285,996

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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Firm Stability Insights

Robert A. Mills

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Alan Mills's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

SUTRO & CO. INCORPORATED

WELLS FARGO CLEARING SERVICES, LLC

BATEMAN EICHLER, HILL RICHARDS, INCORPORATED

UBS FINANCIAL SERVICES INC.

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

Primary Firm SEC Registration

GOLDEN STATE WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/16/1994

Series 63

Date: 9/17/1980

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 15

Date: 11/15/1983

Series 5

Date: 12/8/1981

Series 7

Date: 1/21/1978

Series 53

Date: 11/11/1999

Series 12

Date: 1/17/1981

Series 24

Date: 1/13/1981

Series 4

Date: 9/15/1980

FINRA

Current Firm

GOLDEN STATE WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (36 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GOLDEN STATE WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

Contact information

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