Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Gary Mills is a registered representative and investment advisor with Southeast Investments, N.c., Inc.. Steven has been in the financial services industry since 1994. Steven holds Series 6, 7, 24, 63, and 65 licenses, and a SIE exam. Steven has worked for several other firms in the past including Wall Street Financial Group, Inc., AXA Advisors, LLC, Royal Alliance Associates, Inc., Wells Fargo Securities, Inc., and McLaughlin, Piven, Vogel Securities, Inc. Steven currently works in the Charlotte, NC branch office of Southeast Investments, N.c., Inc..
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.
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.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Offer products as a b/d on a commission basis
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2
NC
09/17/2013 - Present
Southeast Investments, N.c., Inc. (CHARLOTTE NC)
CO
03/23/2001 - 08/19/2013
WALL STREET FINANCIAL GROUP, INC. (GRAND JUNCTION CO)
NY
05/31/2000 - 03/21/2001
AXA ADVISORS, LLC (NEW YORK NY)
AZ
07/21/1998 - 10/19/1999
ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)
CA
01/17/1995 - 04/08/1998
WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)
NY
11/03/1992 - 03/05/1994
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC. (NEW YORK NY)
IA
Issued 07/10/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/20/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/21/1999
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/01/1995
Series 7 - General Securities Representative Examination
BC
Issued 10/29/1992
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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