James Edward Mills

CRD 5174256 · Wells Fargo Advisors · Goldsboro, NC

IA RegisteredBroker

Also appears in the source record as: James E Mills Jr.; James Edward Mills Jr; James Edward Mills Jr.

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): SIESeries 7Series 66Series 63
Registered states (13): Arizona · Colorado · Delaware · District Of Columbia · Florida · Georgia · Maryland · Minnesota · New Jersey · North Carolina · Pennsylvania · South Carolina · Virginia
Years in the industry (source record): 19
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Wells Fargo Advisors
Firm CRD: 19616
SEC number: 801-37967
Assets under management: $671.4B as of Jun 23, 2026
Website: www.twitter.com/WFINVESTING ↗
Phone: 314-875-3000
Firm location: St. Louis, MO, 63103-2205

Employment history (17)

From the source registration record · current first

Wells Fargo Clearing Services, LLCCurrent
Goldsboro, NC · BC capacity

start not retrieved → present
Wells Fargo Clearing Services, LLCCurrent
Goldsboro, NC · IA capacity

start not retrieved → present
Wells Fargo Clearing Services, LLCCurrent
Wilson, NC · IA capacity

start not retrieved → present
Wells Fargo Clearing Services, LLCCurrent
Goldsboro, NC · IA capacity

start not retrieved → present
Wells Fargo AdvisorsCurrent
Goldsboro, NC · IA capacity

start not retrieved → present
Wells Fargo AdvisorsCurrent
Wilson, NC · IA capacity

start not retrieved → present
Wells Fargo AdvisorsCurrent
Goldsboro, NC · IA capacity

start not retrieved → present
Principal Securities, Inc.
Raleigh, NC · IA capacity

Feb 7, 2019 → Jan 30, 2023
Principal Securities, Inc.
Raleigh, NC · BC capacity

Nov 17, 2014 → Jan 30, 2023
Mwa Financial Services Inc.
Rocky Mount, NC · BC capacity

May 3, 2010 → Nov 18, 2014
First Allied Securities, Inc.
San Diego, CA · BC capacity

Jan 1, 2009 → Mar 11, 2010
Kaiser And Company
Elm City, NC · BC capacity

Mar 14, 2008 → Dec 2, 2008
Capital Financial Services, Inc.
Raleigh, NC · IA capacity

Aug 29, 2007 → Mar 17, 2008
Capital Financial Services, Inc.
Raleigh, NC · BC capacity

Aug 29, 2007 → Mar 17, 2008
Merrill Lynch Pierce Fenner & Smith Inc.
Wilson, NC · IA capacity

Jun 15, 2007 → Aug 22, 2007
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Wilson, NC · BC capacity

Jun 6, 2007 → Aug 22, 2007
Edward Jones
Elm City, NC · BC capacity

Aug 15, 2006 → Mar 9, 2007

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

SEC IAPD record for CRD 5174256 ↗ FINRA BrokerCheck record for CRD 5174256 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: IAPD_SEARCH. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.