Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Edward Mills is a registered representative with Wells Fargo Clearing Services, LLC. James has been in the industry since February 2007 and has a Series 7, Series 63, and Series 66 license. James has experience with Principal Securities, Inc. and MWA Financial Services Inc. James is also registered as an Investment Advisor Representative in North Carolina. James focuses on providing investment consulting services to institutional clients, financial planning, pension consulting, 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.
1
2
NC
02/01/2023 - Present
Wells Fargo Clearing Services, LLC (FAYETTEVILLE NC)
NC
11/17/2014 - 01/30/2023
PRINCIPAL SECURITIES, INC. (Raleigh NC)
NC
05/03/2010 - 11/18/2014
MWA FINANCIAL SERVICES INC. (ROCKY MOUNT NC)
CA
01/01/2009 - 03/11/2010
FIRST ALLIED SECURITIES, INC. (SAN DIEGO CA)
NC
03/14/2008 - 12/02/2008
KAISER AND COMPANY (ELM CITY NC)
NC
08/29/2007 - 03/17/2008
CAPITAL FINANCIAL SERVICES, INC. (RALEIGH NC)
NC
06/06/2007 - 08/22/2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (WILSON NC)
NC
08/15/2006 - 03/09/2007
EDWARD JONES (ELM CITY NC)
BOTH
Issued 02/04/2019
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/17/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/14/2006
Series 7 - General Securities Representative Examination
Active
Inactive
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
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