Joseph Mills

Current Employers

Employment History

• 01/2023 → Present
  Kestra Investment Services, Llc
  Timonium, MD
• 07/2022 → 01/2023
  Bfg Financial Advisors
  Timonium, MD
• 08/2018 → 05/2022
  Towson University
  Towson, MD
• 01/2010 → 08/2018
  Wallkill Valley Regional High School
  Hamburg, NJ
• 06/2023 → Present
  Kestra Advisory Services, Llc
  Timonium, MD

Other Businesses

Business Name: BROTMAN FINANCIAL SERVICES POSITION: Investment Operations Associate NATURE: Registered rep activities through Kestra Investment Services INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 07/19/2022 ADDRESS: 16 Greenmeadow Drive, Suite 201, Timonium MD 21093 DESCRIPTION: Notify trading team of trades/depositso Planning memo completion & resolutiono Direct business submission; App Complete submissions; PIPS/SWPS; POA Affidavits for NFS accountso E-blotter for all checks and security certificates and maintaining copies of checks and certificates in a compliance fileo Preparing and processing investment account applications, proposals and other investment-related formso Preparing RIA kit for each new prospective client and new retainer relationshipso Processing and maintenance of SBLOCso Updating Opportunities report daily for pending, not submitted, and completed investment activityo Updating advisors weekly on the opportunity reporto Tracking and submitting annual client retainer feeso Required Minimum Distributions - calculations, tracking, automating, and confirming Business Name: KESTRA ADVISORY SERVICES, LLC POSITION: Investment Operations Associate NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 06/05/2023 ADDRESS: 16 Greenmeadow Drive, Ste 201, Timonium MD 21093, United States DESCRIPTION: Notify trading team of trades/depositso Planning memo completion & resolutiono Direct business submission; App Complete submissions; PIPS/SWPS; POA Affidavits for NFS accountso E-blotter for all checks and security certificates and maintaining copies of checks and certificates in a compliance fileo Preparing and processing investment account applications, proposals and other investment-related formso Preparing RIA kit for each new prospective client and new retainer relationshipso Processing and maintenance of SBLOCso Updating Opportunities report daily for pending, not submitted, and completed investment activityo Updating advisors weekly on the opportunity reporto Tracking and submitting annual client retainer feeso Required Minimum Distributions - calculations, tracking, automating, and confirming

Exams

• S66 Uniform Combined State Law Examination
  2023-06-02

Designations