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Brad Mills Convicted of Misdemeanor Charge

Brad Mills (CRD #: 2126025), a broker registered with LPL Financial, has been convicted of a misdemeanor charge, according to his BrokerCheck record, accessed on May 31, 2025. Investors may have also engaged his services through Brad Mills Wealth Management. Keep reading if you have questions about his alleged conduct as a broker.

Criminal Charges

On February 19, 2025, Brad Mills incurred five criminal charges. Four of these charges were dismissed. Brad Mills was convicted of one misdemeanor charge.

On May 30, 2017, a criminal charge was entered against Brad Mills and later dismissed.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Brad Mills has passed the following exams:

  • Securities Industry Essentials Examination – SIE
  • Futures Managed Funds Examination – Series 31
  • General Securities Representative Examination – Series 7
  • Uniform Combined State Law Examination – Series 66
  • Uniform Investment Adviser Law Examination – Series 65
  • Uniform Securities Agent State Law Examination – Series 63

Brad Mills is a registered broker in 12 states and a registered investment adviser in Texas and Wisconsin.

He has also worked for the following firms:

  • FSC Securities Corporation (CRD#:7461)
  • Raymond James & Associates (CRD#:705)
  • UBS Financial Services (CRD#:8174)
  • Morgan Stanley Smith Barney (CRD#:149777)
  • Morgan Stanley & Company (CRD#:8209)
  • Merrill Lynch, Pierce, Fenner & Smith (CRD#:7691)
  • Edward D. Jones & Company (CRD#:250)

Kurta Law Can Help

If you worked with Brad Mills and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

 

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