Broker Check
 
Chris McMillan

Chris McMillan

Chief Compliance Officer and Corporate Counsel

Chris McMillan has nearly ten years of financial services regulatory experience working in senior legal and compliance positions. He is a graduate of Creighton University with degrees in Philosophy and Law, specifically Corporate and Securities Law and Securities Regulation.

Chris’ father was a Stockbroker and like many kids, he wanted to follow in his Dad’s footsteps. Years later he made his way to the same industry but as an Attorney instead of a Stockbroker.

Chris has worked with Registered Investment Advisers, Broker Dealers, Clearing Firms and Regulatory Consulting Firms. The experiences taught him a great deal about the industry as a whole, specifically developing regulatory and legal expertise. McMillan’s favorite area of the industry has been working with Financial Advisors and helping them to develop and build their businesses with sound legal and compliance practices.

Personal

Chris is originally from Omaha, NE, and with the exception of a seven year period where he and his wife lived in San Diego, he has been in Nebraska his whole life with his parents, three brothers, and his wife.

Community Involvement

McMillan has worked in the past with non-profit organizations such as Nebraska Friends of Foster Care, in an effort to help to raise money for foster children to help them obtain necessities. He also worked at the Red Cross to help struggling families at Christmas.

Certificates/Registrations/Designations/Licenses

  • License to Practice Law, District of Columbia
  • Series 7*
  • Series 24*
  • Series 63*

 


*Securities registrations held with Securities America.