linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

David Winthrop Mills

Wells Fargo Clearing Services, LLC

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you David? Claim Your Profile

About David Winthrop Mills

David Winthrop Mills is a financial advisor with over 28 years of experience in the industry. David Mills is currently registered with Wells Fargo Clearing Services, LLC in Connecticut, New York, and Texas. David Mills has previously been registered with UBS Financial Services Inc, UBS Securities LLC, First Albany Capital Inc, Gleacher Partners LLC, NatWest Finance Inc, Paine Webber Incorporated, and Lehman Brothers Inc. David Mills has passed a total of 6 exams including the Series 66, Series 63, Series 24, Series 79TO, SIE, and Series 7. David Mills has 13 state registrations including California, Connecticut, Florida, Maryland, Massachusetts, New Jersey, New York, Oregon, Tennessee, Texas, Utah, Vermont, and Virginia.

Firm Information

David Mills is currently registered with Wells Fargo Clearing Services, LLC. Wells Fargo Clearing Services, LLC is a Limited Liability Company formed in March 2003 and headquartered in St. Louis, Missouri. They offer a variety of investment advisory services, including financial planning, pension consulting, and portfolio management for individuals, businesses, and institutional clients. With over $10 billion to $50 billion in assets under management, the firm provides services to a diverse client base, including high-net-worth individuals, corporations, charitable organizations, pension plans, and state or municipal government entities. They are registered with the SEC and all 50 states.
Wells Fargo Clearing Services, LLC

ONE NORTH JEFFERSON AVENUE

ST. LOUIS, MO 63103-2205

$558.46B

Assets Under Management

5,927

Total Clients

17,168

Total Financial Advisors

Services Offered

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.

check

financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

check

pension consulting services

Guidance on pension options to ensure a secure financial future.

check

selection of other advisors

Helps you choose top advisors aligned with your financial goals.

check

portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

check

portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

check

investment consulting services to institutional clients

Investment consulting services to institutional clients

Fee Structure

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.

check

fixed fees

Set rates for specific services, regardless of time or assets managed.

check

commissions

Earned based on transactions or products sold.

check

percentage of assets

A percentage of the total value of assets under management is charged.

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

David Mills’s Registration & Firm History

NY

07/17/2021 - Present

Wells Fargo Clearing Services, LLC (PURCHASE NY)

CT

11/21/2011 - 08/16/2021

UBS FINANCIAL SERVICES INC. (STAMFORD CT)

NY

10/17/2005 - 09/21/2011

UBS SECURITIES LLC (NEW YORK NY)

NY

01/08/2003 - 02/24/2005

FIRST ALBANY CAPITAL INC. (NEW YORK NY)

NY

06/29/1999 - 12/31/2002

GLEACHER PARTNERS LLC (NEW YORK NY)

NY

09/30/1996 - 06/29/1999

NATWEST FINANCE INC. (NEW YORK NY)

NJ

05/09/1994 - 05/21/1996

PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)

NY

03/25/1993 - 04/07/1994

LEHMAN BROTHERS INC. (NEW YORK NY)

Not sure if David Winthrop Mills is right for you?

Licenses & Designations

BOTH

Issued 12/28/2011

Series 66 - Uniform Combined State Law Examination

BC

Issued 03/26/1993

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/24/2000

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/20/1993

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BZX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for David Winthrop Mills.
Not sure if David Winthrop Mills is right for you?