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Falmouth, ME 04105
207-233-7846
Independent, collaborative financial planning, where YOU come first.
About Casco Bay Wealth Advisors
Objective Financial Planning for the Future You Envision
Our commitment to every relationship is why we believe our clients entrust us to guide their financial lives and recommend us to their families and friends to do the same for them.
See Disclosures
General Information
Firm Start Year
2013
No. of Employees
10-19
CRD#
6317420
Firm CRD#
8032
Years of Experience in Financial Services
11
Number of Years with Current Firm
2
Work with the following types of clients
Businesses, Non-Profit Organizations, Individual Investors
Advisory Services Provided
Estate Planning & Trusts, Financial Advice & Consulting, Insurance Products & Annuities, Financial Planning, Portfolio Management, Retirement Planning, 401K Rollovers, Money Management, Risk Management, Education Funding and Planning, Financial Planning for Individuals, Financial Planning for Businesses, Wealth Management
Services
Investment Types
Insurance, Annuities, Stocks, Bonds, Mutual Funds, Exchange Traded Funds (ETFs), Alternative Investments, Socially Responsible Investments (SRI)
Can meet clients in the following ways
Phone, Our Offices, Video Conference
Compliance
Registered Representative
Yes
Investment Advisor Representative
Yes
Acknowledged fiduciary
Yes
Compliance Disclosures in Last 5 years
I have a clean record
Criminal Disclosures in Last 5 years
I have a clean record
Qualifications & Membership
Securities Licenses
Series 7, Series 66
Insurance and Annuity Licenses
Health, Life, Variable Annuity, Long Term Care, Variable Life, Annuity, Casualty, Disability
Compensation and Fees
Fee Structure
Fee-Based
Minimum Portfolio Size for New Managed Accounts
$250,000
Compensation Methods
Based on Assets, Flat Fee
Fee % Based on Assets
0.6 - 1.25
Hourly Rate
$250+
Minimum Fee Charged for Managed Accounts
$3,500
Minimum Fee Charged for Hourly Planning Accounts
$2,500
Disclosures
Commonwealth Financial Network ADV 2A
https://adviserinfo.sec.gov/firm/brochure/8032
Additional Detailed Disclosures
https://content.commonwealth.com/media/Mills_Alexander%20RetirementPlanning.net%20Promoter%20Disclosure.pdf
Disclaimer
Securities and advisory services offered through Commonwealth Financial Network®, Member FINRA/SIPC, a Registered Investment Adviser. The Commonwealth Advisor(s) associated with this profile may discuss and/or transact business only with residents of states in which they are registered. You may review a list of Advisor's registrations and other information by visiting BrokerCheck. Fixed insurance products and services are separate from and not offered through Commonwealth.
Alex Mills is dually registered as a registered representative and investment adviser representative of Commonwealth Financial Network®. In these roles, Alex is able to offer two types of accounts: brokerage accounts and asset management accounts. When serving as your advisor on a brokerage account, Alex is required to act in accordance with the requirements of Regulation Best Interest (Reg BI). When serving as your advisor on an asset management account, Alex is required to act in a fiduciary capacity.
In addition to the annual management fee, clients may pay transaction charges (for PPS Custom) or program fees (for PPS Select) and administrative charges, and miscellaneous account fees and charges, as described in the Master Services Agreement (MSA) or PPS Client Agreement (as applicable) and Commonwealth's ADV Part 2A Brochure."