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MM

Mark M. Mcmillan

UBS ASSET MANAGEMENT (AMERICAS) LLC
BEVERLY HILLS, CA 90212
Some features on this profile are disabled
CRD#: 2489274
MM

Professional summary

Mark Matthew Mcmillan is a registered financial advisor currently at UBS ASSET MANAGEMENT (AMERICAS) LLC located in Beverly Hills, California and UBS ASSET MANAGEMENT (US) INC. located in New York, New York.

Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Mark has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Boys and Girls Club of Pasadena; Treasurer and board member, BGCP Foundation; raise money for Boys and GIrls Club of Pasadena (BCGP); 3230 e del mar, pasadena, california

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Matthew Mcmillan's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

August 13, 2009 - Present

UBS ASSET MANAGEMENT (AMERICAS) LLC

Office #1: 131 South Rodeo Drive, Suite 200, Beverly Hills, CA 90212
RIA
CRD#: 106838
BEVERLY HILLS, CA
Current

August 17, 2005 - Present

UBS ASSET MANAGEMENT (US) INC.

Office #1: 787 Seventh Avenue, New York, NY 10019
BD
CRD#: 583
New York, NY
Past

August 17, 2005 - December 31, 2008

UBS ASSET MANAGEMENT (US) INC.

RIA
CRD#: 583
LOS ANGELES, CA
Past

February 28, 2005 - November 3, 2005

TCW INVESTMENT MANAGEMENT COMPANY LLC

RIA
CRD#: 106546
LOS ANGELES, CA
Past

February 3, 2005 - August 17, 2005

TCW FUNDS DISTRIBUTORS LLC

BD
CRD#: 16670
LOS ANGELES, CA
Past

April 7, 2004 - January 3, 2005

UBS ASSET MANAGEMENT (US) INC.

RIA
CRD#: 583
NEW YORK, NY
Past

April 7, 2004 - January 3, 2005

UBS ASSET MANAGEMENT (US) INC.

BD
CRD#: 583
NEW YORK, NY
Past

August 13, 2001 - February 9, 2004

STRONG CAPITAL MANAGEMENT INC

RIA
CRD#: 106638
MENOMONEE FALLS, WI
Past

July 18, 2001 - February 9, 2004

STRONG INVESTMENTS, INC.

BD
CRD#: 15658
MENOMONEE FALLS, WI
Past

November 17, 1999 - June 26, 2001

BACAP DISTRIBUTORS, LLC

BD
CRD#: 46088
CHARLOTTE, NC
Past

June 26, 1998 - September 18, 1998

BANCAMERICA SECURITIES, INC.

BD
CRD#: 17977
SAN FRANCISCO, CA
Past

October 1, 1997 - January 6, 1998

BANCAMERICA SECURITIES, INC.

BD
CRD#: 17977
SAN FRANCISCO, CA
Past

June 1, 1995 - October 1, 1997

ROBERTSON, STEPHENS & COMPANY LLC

BD
CRD#: 7730
SAN FRANCISCO, CA
Past

August 31, 1994 - April 11, 1995

GT GLOBAL, INC.

BD
CRD#: 19587
SAN FRANCISCO, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
UA
UBS ASSET MANAGEMENT (AMERICAS) LLC
BRINSON PARTNERS | UBS UNIFIED GLOBAL ALTERNATIVES | UBS TIMBER INVESTORS | UBS SUSTAINABLE INVESTORS | UBS REAL ESTATE & PRIVATE MARKETS (AMERICAS) | UBS HEDGE FUND SOLUTIONS | UBS GROWTH INVESTORS | UBS GLOBAL REAL ASSETS AMERICAS | UBS GLOBAL ASSET MANAGEMENT(NEW YORK) INC. | UBS GLOBAL ASSET MANAGEMENT (US)INC. | UBS GLOBAL ASSET MANAGEMENT (AMERICAS) INC. | UBS CREDIT INVESTMENTS GROUP | UBS ASSET MANAGEMENT (AMERICAS) LLC | UBS ASSET MANAGEMENT (AMERICAS) INC. | UBS ASSET MANAGEMENT | UBS AM | O'CONNOR | DSI INTERNATIONAL MANAGEMENT, INC. | BRINSON PARTNERS, INC

CRD#: 106838 / SEC#: 801-34910

RIA
Registered Investment Advisory firm - (9/11/1989 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(8/17/2005)
IAR
California
(8/13/2009)
RR
Hawaii
(9/17/2015)

Exams

State Security Law Exam
IAR
Series 65
Date: 8/21/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/28/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/14/1995
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/29/1994
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/12/2000
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

UA
UBS ASSET MANAGEMENT (AMERICAS) LLC
BRINSON PARTNERS | UBS UNIFIED GLOBAL ALTERNATIVES | UBS TIMBER INVESTORS | UBS SUSTAINABLE INVESTORS | UBS REAL ESTATE & PRIVATE MARKETS (AMERICAS) | UBS HEDGE FUND SOLUTIONS | UBS GROWTH INVESTORS | UBS GLOBAL REAL ASSETS AMERICAS | UBS GLOBAL ASSET MANAGEMENT(NEW YORK) INC. | UBS GLOBAL ASSET MANAGEMENT (US)INC. | UBS GLOBAL ASSET MANAGEMENT (AMERICAS) INC. | UBS CREDIT INVESTMENTS GROUP | UBS ASSET MANAGEMENT (AMERICAS) LLC | UBS ASSET MANAGEMENT (AMERICAS) INC. | UBS ASSET MANAGEMENT | UBS AM | O'CONNOR | DSI INTERNATIONAL MANAGEMENT, INC. | BRINSON PARTNERS, INC

CRD#: 106838 / SEC#: 801-34910

RIA
Registered Investment Advisory firm - (9/11/1989 Approved)
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Contact information

Main Address
787 7th Avenue, New York, NY 10019
Mailing Address
Phone number
(212) 713-2000
Established
Firm type
Fiscal year end
# of Employees
792

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

UBS AM (AMERICAS) LLC - UGA FORM ADV PART 2A (7/1/2025)
UBS AM (AMERICAS) LLC - O'CONNOR FORM ADV PART 2A (3/31/2025)
UBS AM (AMERICAS) LLC - GRA AMERICAS FORM ADV PART 2A (3/31/2025)
UBS AM (AMERICAS) LLC - UBS AM FORM ADV PART 2A (3/31/2025)
UBS AM (AMERICAS) LLC - CIG FORM ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts399,225
AUM (Assets Under Management)$ 542,245,991,275

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
01/28/2025
Cover Page
Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

UBS ASSET MANAGEMENT (AMERICAS) LLC

CRD#: 106838Beverly Hills, CA 90212

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