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Michael Thomas Mills

LPl Financial LLC

Vista, CA

Carlsbad, CA

San Clemente, CA

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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2012-10-17
  • CA RA
    APPROVED
    Since 2012-10-17

Branch Locations

1475 West Vista Way, Vista, CA 92083 • United States

2530 El Camino Real, Carlsbad, CA 92008 • United States

San Clemente, CA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
San Diego Ciybtt Credit Union Vista CA 10/2012 Present
Lpl Financial Llc Charlotte NC 10/2012 Present
  • 10/2012 → Present
    San Diego Ciybtt Credit Union
    Vista, CA
  • 10/2012 → Present
    Lpl Financial Llc
    Charlotte, NC
Previous Registrations
  • 2009-12-08 → 2012-09-05
    U.S. Bancorp Investments, Inc.
    Laguna Beach, CA
    Lake Forest, CA
    Mission Viejo, CA
    Laguna Woods, CA
    Lake Forest, CA
    Lake Forest, CA
    Lake Forest, CA
    Lake Forest, CA
    Lake Forest, CA
    Mission Viejo, CA
    Ladera Ranch, CA
    Lake Forest, CA
  • 2009-05-02 → 2009-12-02
    Chase Investment Services Corp.
    Escondido, CA
  • 2008-12-11 → 2009-05-02
    Wamu Investments, Inc.
    Escondido, CA
    Escondido, CA
    Escondido, CA
Other Businesses

1. 10/17/2012 - DBA ONLY /SDCCU MEMBER INVESTMENT SERVICES / VISTA, CA 2. 01/08/2013: DBA ONLY / SDCCU INVESTMENT SERVICES / VISTA, CA

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-01-09
S63 Uniform Securities Agent State Law Examination 1993-05-04
  • S66 Uniform Combined State Law Examination
    2012-01-09
  • S63 Uniform Securities Agent State Law Examination
    1993-05-04

View on SEC IAPD

Other Firms

OSAIC WEALTH, INC.
COMMONWEALTH FINANCIAL NETWORK
SCIENCE VENTURES MANAGEMENT, LLC
THRIVENT INVESTMENT MANAGEMENT INC.
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
J.P. MORGAN SECURITIES LLC
EDWARD JONES
WELLS FARGO CLEARING SERVICES, LLC

Other Investors

JEFFREY PAUL JOHNSON
David Andrew Baldwin
ROBERT JEFFREY CRANE
ROBERT JAMES BRIONES
Elena NavedoAlvarez
Samuel Altamirano ramirez
KHUSHBU SUNDER HARJANI
CAROLINA RIDA JAAFAR

Other Offices

OSAIC WEALTH, INC. · VISTA, CA
COMMONWEALTH FINANCIAL NETWORK · Vista, CA
SCIENCE VENTURES MANAGEMENT, LLC · VISTA, CA
THRIVENT INVESTMENT MANAGEMENT INC. · Vista, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · VISTA, CA
J.P. MORGAN SECURITIES LLC · VISTA, CA
EDWARD JONES · VISTA, CA
WELLS FARGO CLEARING SERVICES, LLC · VISTA, CA

More in Vista, CA

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