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Detailed Report
JAMES EDWARD MILLS
JAMES E MILLS JR., JAMES EDWARD MILLS JR, JAMES EDWARD MILLS JR.
CRD#: 5174256
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 6752 PARKER FARM DR STE 300
WILMINGTON, NC 28405
Registration History
200620082010201220142016201820202022202420262 FIRMS2007 - 2007 (<1 year)2 FIRMS2007 - 2008 (<1 year)2 FIRMS2023 - Present (2 years)BPRINCIPAL SECURITIES, INC. (CRD# 1137)2014 - 2023 (8 years)BMWA FINANCIAL SERVICES INC. (CRD# 112630)2010 - 2014 (4 years)BFIRST ALLIED SECURITIES, INC. (CRD# 32444)2009 - 2010 (1 year)BKAISER AND COMPANY (CRD# 14186)2008 - 2008 (<1 year)BEDWARD JONES (CRD# 250)2006 - 2007 (<1 year)IAPRINCIPAL SECURITIES, INC. (CRD# 1137)2019 - 2023 (3 years)
License(s)

State Registrations

B
Colorado 8/30/2023
B
Minnesota 10/23/2024
B
Delaware 4/13/2023
B
New Jersey 4/8/2025
B
District of Columbia 9/27/2023
B
North Carolina 1/17/2023
B
Florida 1/17/2023
IA
North Carolina 1/17/2023
B
Maryland 8/15/2024
B
South Carolina 1/17/2023

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Texas, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

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)
IA
WELLS FARGO ADVISORS (CRD#:19616)
6752 PARKER FARM DR STE 300, WILMINGTON, NC 28405
200 GREEN ST, FAYETTEVILLE, NC 28301
Registered with this firm since 1/17/2023
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
6752 PARKER FARM DR STE 300, WILMINGTON, NC 28405
200 GREEN ST, FAYETTEVILLE, NC 28301
Registered with this firm since 1/17/2023
Previous Registration(s)
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IA
 02/07/2019 - 01/30/2023 PRINCIPAL SECURITIES, INC. (CRD#:1137) Raleigh, NC
B
 11/17/2014 - 01/30/2023 PRINCIPAL SECURITIES, INC. (CRD#:1137) Raleigh, NC
B
 05/03/2010 - 11/18/2014 MWA FINANCIAL SERVICES INC. (CRD#:112630) ROCKY MOUNT, NC
B
 01/01/2009 - 03/11/2010 FIRST ALLIED SECURITIES, INC. (CRD#:32444) SAN DIEGO, CA
B
 03/14/2008 - 12/02/2008 KAISER AND COMPANY (CRD#:14186) ELM CITY, NC
IA
 08/29/2007 - 03/17/2008 CAPITAL FINANCIAL SERVICES, INC. (CRD#:8408) RALEIGH, NC
B
 08/29/2007 - 03/17/2008 CAPITAL FINANCIAL SERVICES, INC. (CRD#:8408) RALEIGH, NC
IA
 06/15/2007 - 08/22/2007 MERRILL LYNCH PIERCE FENNER & SMITH INC. (CRD#:7691) WILSON, NC
B
 06/06/2007 - 08/22/2007 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) WILSON, NC
B
 08/15/2006 - 03/09/2007 EDWARD JONES (CRD#:250) ELM CITY, NC
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
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.
IA
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.