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Detailed Report
STEVEN RICHARD MILLS
CRD#: 3133520
IA
Investment Adviser
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Broker
PRIVATE CLIENT SERVICES, LLCCRD#: 120222 2225 LEXINGTON RD
LOUISVILLE, KY 40206
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2014 - 2019 (4 years)IAPRIVATE CLIENT SERVICES, LLC (CRD# 120222)2022 - Present (3 years)BPRIVATE CLIENT SERVICES, LLC (CRD# 120222)2021 - Present (3 years)BPURSHE KAPLAN STERLING INVESTMENTS (CRD# 35747)2021 - 2021 (<1 year)BWELLS FARGO ADVISORS, LLC (CRD# 19616)2002 - 2014 (12 years)BFIRST UNION SECURITIES, INC. (CRD# 19616)2000 - 2002 (1 year)BFIRST UNION BROKERAGE SERVICES... (CRD# 8112)1998 - 2000 (1 year)IAAPOLLON WEALTH MANAGEMENT, LLC (CRD# 291902)2019 - 2021 (2 years)IAWELLS FARGO ADVISORS, LLC (CRD# 19616)2006 - 2014 (8 years)
License(s)

State Registrations

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Alabama 4/25/2023
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Nebraska 4/25/2023
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Alaska 4/25/2023
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Nevada 4/25/2023
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Arizona 4/25/2023
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New Hampshire 4/25/2023
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Arkansas 4/25/2023
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New Jersey 4/25/2023
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California 4/25/2023
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New Mexico 4/25/2023
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Colorado 4/25/2023
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New York 4/25/2023
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Connecticut 4/25/2023
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North Carolina 4/25/2023
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Delaware 4/25/2023
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North Dakota 4/25/2023
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District of Columbia 4/25/2023
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Ohio 4/26/2023
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Florida 4/25/2023
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Oklahoma 4/25/2023
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Georgia 4/25/2023
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Oregon 4/25/2023
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Hawaii 4/25/2023
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Pennsylvania 4/25/2023
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Idaho 4/25/2023
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Rhode Island 4/25/2023
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Illinois 4/25/2023
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South Carolina 11/15/2021
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Indiana 4/25/2023
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South Carolina 1/28/2022
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Iowa 4/25/2023
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South Dakota 4/25/2023
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Kansas 4/25/2023
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Tennessee 4/25/2023
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Kentucky 4/25/2023
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Texas 4/25/2023
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Louisiana 4/25/2023
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Utah 4/25/2023
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Maine 4/25/2023
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Vermont 4/25/2023
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Maryland 4/25/2023
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Virgin Islands 4/25/2023
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Massachusetts 4/25/2023
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Virginia 4/25/2023
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Michigan 4/25/2023
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Washington 4/25/2023
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Minnesota 4/25/2023
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West Virginia 4/25/2023
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Mississippi 4/25/2023
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Wisconsin 4/25/2023
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Missouri 4/25/2023
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Wyoming 4/25/2023
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Montana 5/3/2023

SRO Registrations

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 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
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PRIVATE CLIENT SERVICES, LLC (CRD#:120222)
2225 LEXINGTON RD, LOUISVILLE, KY 40206
7755 Ballantyne Commons Suite 101, Charlotte, NC 28277
Registered with this firm since 1/28/2022
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PRIVATE CLIENT SERVICES, LLC (CRD#:120222)
2225 LEXINGTON RD, LOUISVILLE, KY 40206
7755 Ballantyne Commons Suite 101, Charlotte, NC 28277
Registered with this firm since 11/15/2021
Previous Registration(s)
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 07/19/2019 - 12/17/2021 APOLLON WEALTH MANAGEMENT, LLC (CRD#:291902) MOUNT PLEASANT, SC
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 03/26/2021 - 11/10/2021 PURSHE KAPLAN STERLING INVESTMENTS (CRD#:35747) Mount Pleasant, SC
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 05/09/2014 - 04/23/2019 LPL FINANCIAL LLC (CRD#:6413) FORT MILL, SC
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 05/09/2014 - 04/23/2019 LPL FINANCIAL LLC (CRD#:6413) FORT MILL, SC
IA
 01/19/2006 - 04/30/2014 WELLS FARGO ADVISORS, LLC (CRD#:19616) CHARLOTTE, NC
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 02/26/2002 - 04/30/2014 WELLS FARGO ADVISORS, LLC (CRD#:19616) CHARLOTTE, NC
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 10/01/2000 - 01/22/2002 FIRST UNION SECURITIES, INC. (CRD#:19616) ST. LOUIS, MO
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 12/03/1998 - 10/01/2000 FIRST UNION BROKERAGE SERVICES, INC. (CRD#:8112) CHARLOTTE, NC
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.