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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

DAVID CARL MILLS

Advisor at LPL FINANCIAL LLC

GRAFTON, WI

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Search this name across graphsid dfx:ria:9b9beb84-6ddf-6782-6ddf-a8128e9ca328

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:25 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Nov 25, 2003 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 11, 2003earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Nov 11, 2003
First registration: Nov 25, 2003
Dual registered: yes, broker-dealer
Other names: DAVID C MILLS|DAVE MILLS
IAPD individual key: 2399992

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LPL FINANCIAL LLC	Bd affiliated wealth	Apr 16, 2026	n/a	yes	GRAFTON, WI	Current employment
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Bd affiliated wealth	Oct 23, 2017	Apr 27, 2026	no	Grafton, WI\|Greenfield, WI	Previous registration
INVESTMENT CENTERS OF AMERICA, INC.	Former SEC adviser	Jul 1, 2016	Oct 23, 2017	no	RICHFIELD, WI	Previous registration
ANNEX WEALTH MANAGEMENT, LLC	Independent wealth	Jun 15, 2011	Jul 13, 2016	no	BROOKFIELD, WI	Previous registration
THE MUTUAL FUND STORE	Former SEC adviser	Mar 31, 2009	Jul 12, 2011	no	WAUKESHA, WI	Previous registration
VANGUARD ADVISERS, INC.	Bd affiliated wealth	Nov 25, 2003	Jul 31, 2007	no	SCOTTSDALE, AZ	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	LPL FINANCIAL LLC	Apr 27, 2026	Apr 16, 2026	-11	Firm change	Ibd to ibd
INVESTMENT CENTERS OF AMERICA, INC.	CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Oct 23, 2017	Oct 23, 2017	0	Firm change	Other
ANNEX WEALTH MANAGEMENT, LLC	INVESTMENT CENTERS OF AMERICA, INC.	Jul 13, 2016	Jul 1, 2016	-12	Firm change	Other
THE MUTUAL FUND STORE	ANNEX WEALTH MANAGEMENT, LLC	Jul 12, 2011	Jun 15, 2011	-27	Firm change	Other
VANGUARD ADVISERS, INC.	THE MUTUAL FUND STORE	Jul 31, 2007	Mar 31, 2009	609	Firm change after gap	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
134139:6413:WI:2026-04-27	Apr 27, 2026	Apr 16, 2026	GREENFIELD, WI	Firm change
16443:134139:WI:2017-10-18	Oct 23, 2017	Oct 23, 2017	RICHFIELD, WI	Firm change

Relationships

Registered with (6)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Apr 16, 2026 to presentfactForm ADV
→ CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.Registered adviserregistration: previous registration
Oct 23, 2017 to Apr 27, 2026factForm ADV
→ INVESTMENT CENTERS OF AMERICA, INC.Registered adviserregistration: previous registration
Jul 1, 2016 to Oct 23, 2017factForm ADV
→ ANNEX WEALTH MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jun 15, 2011 to Jul 13, 2016factForm ADV
→ THE MUTUAL FUND STORERegistered adviserregistration: previous registration
Mar 31, 2009 to Jul 12, 2011factForm ADV
→ VANGUARD ADVISERS, INC.Registered adviserregistration: previous registration
Nov 25, 2003 to Jul 31, 2007factForm ADV

Dated events

Occurred
Apr 27, 2026
Advisor changed firm
David Carl Mills left Cambridge Investment Research Advisors, Inc. for Lpl Financial Llc (registered 2026-04-16)
Form ADVobserved 5 days ago