Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Mills is a financial advisor with Wells Fargo Clearing Services, LLC. David has been in the industry since 1996 and holds the Series 7, 63, and 65 licenses as well as the SIE designation. David is registered with the Financial Industry Regulatory Authority (FINRA) as a registered representative and with the Securities and Exchange Commission (SEC) as an investment advisor representative. David has previously worked with Wells Fargo Investments, LLC and CUNA Brokerage Services, Inc. David provides investment consulting services to institutional clients, in addition to financial planning and portfolio management for both businesses and individuals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
TX
01/03/2011 - Present
Wells Fargo Clearing Services, LLC (PEARLAND TX)
TX
05/26/2005 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (HOUSTON TX)
IA
06/05/1996 - 05/16/2005
CUNA BROKERAGE SERVICES, INC. (WAVERLY IA)
MA
02/27/1996 - 06/06/1996
JOHN HANCOCK DISTRIBUTORS, INC. (BOSTON MA)
MA
02/27/1996 - 06/06/1996
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY (BOSTON MA)
IA
Issued 03/29/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/01/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/26/1996
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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