Robert Alan Mills

Current Employers

Employment History

• 06/2009 → 12/2016
  Morgan Stanley Smith Barney
  Thousand Oaks, CA
• 01/2015 → 12/2016
  Morgan Stanley Private Bank, National Association
  New York, NY
• 01/2017 → Present
  Lpl Financial, Llc
  Westlake Village, CA
• 01/2017 → Present
  Golden State Wealth Management, Llc
  South Coast Metro, CA

Previous Registrations

• 2009-06-01 → 2017-01-23
  Morgan Stanley
  Thousand Oaks, CA
  Westlake Village, CA
• 2007-07-20 → 2009-06-01
  Morgan Stanley & Co. Llc
  Thousand Oaks, CA
• 2002-05-28 → 2007-08-06
  Rbc Capital Markets, Llc
  Woodland Hills, CA
  Woodland Hills, CA

Other Businesses

1. 01/13/2017 - WESTLAKE INVESTMENT ADVISORS/ DBA for LPL Business (entity for LPL business)/ 100%/ WESTLAKE VILLAGE, CA. 2. 1/18/2017 - Golden State Wealth Management, LLC - DBA: WESTLAKE INVESTMENT ADVISORS - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 1/13/2017 - Time Spent 100% - I provide investment advisory services through Golden State Wealth Management, LLC, an independent investment advisor firm. I started this business activity in January 2017. I expect to spend approximately 100 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 3. 1/18/2017 - GOLDEN STATE WEALTH MANAGEMENT - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 1/13/2007 - 160 Hours Per Month - Time Spent 100% - I provide investment advisory services through Golden State Wealth Management, an independent investment advisor firm. I started this business activity in January, 2017. I expect to spend approximately 100 hours per month] on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 4. 08/27/2019 - No business name - Investment related - At reported business location(s) - Non-Variable Insurance - start date:08/26/2019 - 3 hrs/mo - 3 hrs during trading.

Exams

• S65 Uniform Investment Adviser Law Examination
  1994-06-16
• S63 Uniform Securities Agent State Law Examination
  1980-09-17

Other Names

• Robert A. 'ROcky' Mills