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David Carl Mills

LPl Financial LLC

Grafton, WI

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2026-04-16
WI RA APPROVED 2026-04-16
  • TX RA
    APPROVED_RES
    Since 2026-04-16
  • WI RA
    APPROVED
    Since 2026-04-16

Branch Locations

1019 Cedar Street, Grafton, WI 53024 • 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
Investment Centers Of America Grafton WI 07/2016 10/2017
Cambridge Investment Research, Inc. Fairfield IA 10/2017 04/2026
Cambridge Investment Research Advisors, Inc. Fairfield IA 10/2017 04/2026
Lpl Financial Llc Grafton WI 04/2026 Present
Previous Registrations
Other Businesses

1. 04/2026 - Investment Center of Grafton - DBA for LPL Business (entity for LPL business) - Inv Related - 160 Hour(s)/Month - 160 Hour(s) During Trading - At Reported business location(s) - OBA Start Date: 4/16/2026

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2011-08-23
S65 Uniform Investment Adviser Law Examination 2003-11-11
  • S63 Uniform Securities Agent State Law Examination
    2011-08-23
  • S65 Uniform Investment Adviser Law Examination
    2003-11-11
Other Names
  • David C Mills
  • Dave Mills

View on SEC IAPD

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