linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Michael Mills

Smbc Nikko Securities America, Inc.

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

About Michael Mills

Michael Mills is a financial professional with over 20 years of experience in the industry. Michael is currently registered with Smbc Nikko Securities America, Inc., a firm that is not currently registered as an Investment Advisor. Previously, Michael was registered with Wells Fargo Securities, LLC, The Vertical Group, SG Americas Securities, LLC, Goldman, Sachs & Co., HSBC Securities (USA) Inc., and Salomon Brothers Inc. Michael holds licenses for Series 3, 7, 24, 55, 63 and SIE and is registered in 51 states, the District of Columbia and Puerto Rico.

Firm Information

Michael Mills is currently registered with Smbc Nikko Securities America, Inc.. Smbc Nikko Securities America, Inc. is a Corporation registered in the United States and has been in operation since August 8, 1990. The firm has a presence in all 50 states and the District of Columbia, with a total of 52 state registrations. Smbc Nikko Securities America, Inc. has one SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

313

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.

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.

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.

Michael Mills’s Registration & Firm History

NC

11/11/2021 - Present

Smbc Nikko Securities America, Inc. (Charlotte NC)

NC

10/13/2016 - 05/09/2019

WELLS FARGO SECURITIES, LLC (CHARLOTTE NC)

NJ

09/28/2015 - 10/03/2016

THE VERTICAL GROUP (RED BANK NJ)

NY

06/24/2011 - 05/07/2014

SG AMERICAS SECURITIES, LLC (NEW YORK NY)

NY

05/04/2006 - 07/28/2010

GOLDMAN, SACHS & CO. (NEW YORK NY)

NA

02/10/1998 - 05/04/2006

HSBC SECURITIES (USA) INC. (LONDON )

NY

10/31/1996 - 02/03/1998

SALOMON BROTHERS INC. (NEW YORK NY)

Not sure if Michael Mills is right for you?

Licenses & Designations

BC

Issued 10/14/2021

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/30/2016

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/14/2013

Series 3 - National Commodity Futures Examination

BC

Issued 07/21/2007

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 10/30/1996

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

F

FINRA

N

NYSE Arca, Inc.

Disclosures

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