Business Description

As a Financial Advisor and Certified Financial Planner (CFP) with over 20 years of experience, I understand that each client is different - from a new investor to one with years of experience - and I appreciate your individual circumstances.

At Wells Fargo Advisors, we offer our clients access to some of the world's most powerful resources. But the most important resources of all are the ones I bring to the table whenever we discuss your needs - listening and understanding. They are the first steps in the disciplined, ongoing process of wealth management.

Contact me direct at (925) 746-7266 , if you would like me to help you develop strategies that are a good fit for your financial goals.

General Information

Gender:

Male

CRD#:

1787745

States Licensed in:

ar,az,ca,co,ct,mo,nv,or,pa,tx,wa,wi

Years of Experience in Financial Services:

Number of Years with Current Firm:

Work Experience:

1988-1999 Merrill Lynch
Vice President
1999-2009 UBS Financial Svcs
Certified Financial Planner
First Vice President
2009-pres Wells Fargo Advisors
Certified Financial Planner
First Vice President

I work with the following types of clients:

Individual Investors

Education

Academic Background

Cal State East Bay, BS Finance
Kaplan University , Certified Financial Planner

Services

Investment Types:

Mortgages & Real Estate, Alternative Investments, Exchange Traded Funds (ETFs), Bonds, Stocks, Commodities, Mutual Funds, Socially Responsible Investments (SRI)

Qualifications & Memberships

Certifications, Accreditations & Designations:

CERTIFIED FINANCIAL PLANNER™ Certificant

Securities Licenses:

Series 6, Series 7, Series 63, Series 66

Insurance and Annuity Licenses:

Variable Annuity, Long Term Care, Variable Life, Annuity, Life

Non-Financial Organization Memberships:

Alamo Chamber of Commerce
Exchange Club of San Ramon Valley
Mustang Soccer Coach
SRVGAL Coach

Firm Information

Number of Advisors in Office:

10 - 99 employees

I work with clients as part of a team:

Yes

Compliance

Registered Representative:

Yes

Investment Advisor Representative:

Yes

Compliance Disclosures in Last 5 years:

I have a clean record

Criminal Disclosures in Last 5 years:

I have a clean record

Compensation & Fees

Fee Structure:

I am a fee-based financial professional

Minimum Portfolio Size for New Managed Accounts:

$100,000

Compensation Methods:

Based on Assets

Fee % Based on Assets:

.50%-1.50%

Prepared By:

Gary Mills