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James Edward Mills

Wells Fargo Clearing Services, LLC

Wilmington, NC

Goldsboro, NC

Wilson, NC

Goldsboro, NC

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Current Employers
Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2023-02-01
  • NC RA
    APPROVED
    Since 2023-02-01

Branch Locations

6752 Parker Farm Dr Ste 300, Wilmington, NC 28405 • United States

301 E Ash St, Goldsboro, NC 27530 • United States

2801 Raleigh Rd Pkwy W, Wilson, NC 27896 • United States

605 N Berkeley Blvd, Goldsboro, NC 27534 • 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
Principal Life Insurance Company Raleigh NC 11/2014 12/2016
Edward Spencer Employee Benefits Group Raleigh NC 12/2018 05/2021
Principal Securities Inc Raleigh NC 03/2016 01/2023
21St Century Financial Strategies Raleigh NC 08/2021 12/2022
Wells Fargo Clearing Services, Llc Rocky Mountain NC 01/2023 Present
  • 11/2014 → 12/2016
    Principal Life Insurance Company
    Raleigh, NC
  • 12/2018 → 05/2021
    Edward Spencer Employee Benefits Group
    Raleigh, NC
  • 03/2016 → 01/2023
    Principal Securities Inc
    Raleigh, NC
  • 08/2021 → 12/2022
    21St Century Financial Strategies
    Raleigh, NC
  • 01/2023 → Present
    Wells Fargo Clearing Services, Llc
    Rocky Mountain, NC
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-02-04
S63 Uniform Securities Agent State Law Examination 2006-08-17
  • S66 Uniform Combined State Law Examination
    2019-02-04
  • S63 Uniform Securities Agent State Law Examination
    2006-08-17
Other Names
  • James Edward Mills
  • James Edward Mills
  • James E Mills
  • James Edward Mills

View on SEC IAPD

Other Firms

RAYMOND JAMES & ASSOCIATES, INC.
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
OSAIC INSTITUTIONS, INC.
STATE FARM INVESTMENT MANAGEMENT CORP.
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
OSAIC WEALTH, INC.
MORGAN STANLEY
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Other Investors

MATTHEW STEPHEN BENNETT
Gary R Bechtold
EDWARD MONTGOMERY KNOX
TIMOTHY CALHOUN GRAY
EMILY ROGERS HARVEY
CHARLES WARREN MINTZ
Savannah Castor King
JOHN DAVID THOMAS

Other Offices

RAYMOND JAMES & ASSOCIATES, INC. · Wilmington, NC
WELLS FARGO CLEARING SERVICES, LLC · WILMINGTON, NC
WELLS FARGO CLEARING SERVICES, LLC · WILMINGTON, NC
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · WILMINGTON, NC
OSAIC INSTITUTIONS, INC. · Wilmington, NC
STATE FARM INVESTMENT MANAGEMENT CORP. · Wilmington, NC
WELLS FARGO CLEARING SERVICES, LLC · WILMINGTON, NC
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · WILMINGTON, NC

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