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Robert Alan Mills

Investment Adviser Representative at GOLDEN STATE WEALTH MANAGEMENT, LLC

Westlake Village, CACRD #848650Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
48 yrs
States Registered
2 states
Exams Passed
11

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

Robert Alan Mills has worked in the securities industry since 1978. They are registered to provide investment advisory services in California and Texas.

Registrations & licenses

Registration type
Dual-registered
Registered in 2 states
CaliforniaTexas
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 6/16/1994
Series 63
Uniform Securities Agent State Law Examination
Passed 9/17/1980
Series 52
Municipal Securities Representative Examination
Passed 1/2/2023
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 15
Foreign Currency Options Examination
Passed 11/15/1983
Series 5
Interest Rate Options Examination
Passed 12/8/1981
Series 7
General Securities Representative Examination
Passed 1/21/1978
Series 53
Municipal Securities Principal Examination
Passed 11/11/1999
Series 12
NYSE Branch Manager Examination
Passed 1/17/1981
Series 24
General Securities Principal Examination
Passed 1/13/1981
Series 4
Registered Options Principal Examination
Passed 9/15/1980

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Blended rate
0.02
Source

Golden State Wealth Management, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

GOLDEN STATE WEALTH MANAGEMENT, LLCCurrent
1/13/2017Westlake Village, CA
LPL FINANCIAL LLC
2/2/201812/31/2019Westlake Village, CA
MORGAN STANLEY
6/1/20091/23/2017Westlake Village, CA
MORGAN STANLEY & CO. INCORPORATED
7/20/20076/1/2009Thousand Oaks, CA
RBC DAIN RAUSCHER INC.
5/28/20028/6/2007Woodland Hills, CA

Official records & sources

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Robert Alan Mills has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

Robert Alan Mills - Financial Advisor in Westlake Village, CA | AdvisorFinder