Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Richard Mills is a financial advisor with over 20 years of experience in the industry. He is currently registered with Private Client Services, LLC, and holds a Series 65, Series 63, Series 7, Series 9, Series 10, Series 31, and SIE licenses. Steven has a strong track record of providing personalized financial advice to individuals, families, and businesses. He is committed to helping clients achieve their financial goals through a comprehensive approach to wealth management. Steven's expertise includes portfolio management, financial planning, and retirement planning. He is also a registered Investment Advisor Representative in South Carolina.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
NC
01/28/2022 - Present
Private Client Services, LLC (Charlotte NC)
SC
03/26/2021 - 11/10/2021
PURSHE KAPLAN STERLING INVESTMENTS (Mount Pleasant SC)
SC
05/09/2014 - 04/23/2019
LPL FINANCIAL LLC (FORT MILL SC)
NC
02/26/2002 - 04/30/2014
WELLS FARGO ADVISORS, LLC (CHARLOTTE NC)
MO
10/01/2000 - 01/22/2002
FIRST UNION SECURITIES, INC. (ST. LOUIS MO)
NC
12/03/1998 - 10/01/2000
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
IA
Issued 01/11/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/26/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/29/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/14/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/31/2006
Series 31 - Futures Managed Funds Examination
BC
Issued 11/25/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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