Broker Check
Robert A. ''Rocky'' Mills, MBA

Robert A. ''Rocky'' Mills, MBA


Rocky is a 44-year veteran of the investment advisory business.  Roles have included:

  • Financial Advisor / Investment Management Consultant / Portfolio Management Director
  • Branch Manager for several highly acclaimed offices
  • Manager, Retail Options Department (New York)
  • Manager, National Marketing Center (New York)
  • Sales Manager, Resource Management Account (New York)
  • Director of Marketing (Chicago), including Advertising, Mutual Funds, Insurance, Financial Planning, Managed Accounts
  • Member, Board of Directors
  • Chairman, Financial Consultants Advisory Council


  • MBA, University of California, Riverside, 1981– graduated #1 in class
  • BA Economics & Psychology, University of California, Santa Barbara, 1974 – magna cum laude


  • North Ranch Country Club 
  • ProVisors

Licenses & Designations

  • Series 7     General Securities Representative, held through LPL Financial
  • Series 8     Branch Office Manager, held through LPL Financial
  • Series 4     Registered Options Principal, held through LPL Financial
  • Series 24   General Securities Principal, held through LPL Financial
  • Series 53   Municipal Securities Principal, held through LPL Financial


  • Lives in Westlake Village with wife of 44 years, Linda
  • Enjoys golf, bad puns and The Beatles